Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIOVIE INC.BIVI · Entity 7702 | Director · 10% owner | November 23, 2022 | January 18, 2023 |
| EVmo, Inc.YAYO · Entity 117051 | Director · 10% owner | May 18, 2022 | May 19, 2022 |
| Ontrak, Inc.OTRK · Entity 78207 | 10% owner | June 20, 2025 | June 24, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BIOVIE INC.
Report date November 23, 2022 · Filed January 18, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $6.12 · Expires 2032-11-23 | Direct | 65,000 |
Reported balance
After 2022-11-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-11-23 · Grant · Acquired 65,000 · Balance 65,000 F1: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2: The options vest in four equal installments over a one-year period ending November 9, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan.
F2: The options vest in four equal installments over a one-year period ending November 9, 2023.
EVmo, Inc.
Report date May 18, 2022 · Filed May 19, 2022
Jointly reported with Acuitas Group Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Acuitas | 12,616,819 |
Reported balance
After 2022-05-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-05-18 · Purchase · Acquired 129,800 · Balance 12,616,819 F1: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. The issuer's board of directors appointed Mr. Peizer as its Executive Chairman, effective as of February 26, 2021. F2: The shares of Common Stock were purchased in two (2) separate transactions for a range of prices from $0.27992 to $0.27994 which have been weighted and aggregated and reported on the line and rounded to the nearest thousandth. F3: The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. The issuer's board of directors appointed Mr. Peizer as its Executive Chairman, effective as of February 26, 2021.
F2: The shares of Common Stock were purchased in two (2) separate transactions for a range of prices from $0.27992 to $0.27994 which have been weighted and aggregated and reported on the line and rounded to the nearest thousandth.
F3: The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.
Ontrak, Inc.
Report date June 20, 2025 · Filed June 24, 2025
Jointly reported with Acuitas Group Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Humanitario | 2,305,480 |
Reported balance
After 2025-06-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-06-20 · Other · Acquired 500,000 · Balance 2,305,480 F1: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas") with respect to the issuer Ontrak, Inc. ("Ontrak"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. Humanitario Capital LLC is an entity wholly owned by Mr. Peizer. |
| Pre-Funded Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy Humanitario | 799,575 |
Reported balance
After 2025-06-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-06-20 · Other · Disposed 500,000 · Balance 799,575 F2: As previously disclosed, the Pre-Funded Warrant (as previously defined) may be exercised at any time until exercised in full. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas") with respect to the issuer Ontrak, Inc. ("Ontrak"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. Humanitario Capital LLC is an entity wholly owned by Mr. Peizer.
F2: As previously disclosed, the Pre-Funded Warrant (as previously defined) may be exercised at any time until exercised in full.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | Disposition to issuer10% Convertible Debenture due 2020 · Derivative | Not disclosed | $0.00 | $2,000,000.00 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 17 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires 2020-09-24 F12 · derivative.exercise_price: On September 22, 2020, the Issuer paid approximately $1.8 million to Acuitas satisfy all amounts owed on the Debenture due September 24, 2020. F12 · kind: On September 22, 2020, the Issuer paid approximately $1.8 million to Acuitas satisfy all amounts owed on the Debenture due September 24, 2020. F6 · reported_value: See Exhibit 99.1 F6 · derivative.underlying_shares: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | Exercise / conversionCommon Stock | 1,549,750 | $0.00 | $154.98 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 8 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,168,538 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · kind: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCommon Stock | 5,359,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 7 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,618,788 F8 · kind: See Exhibit 99.1 F8 · price: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| July 29, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 187,002 | Not disclosed Strike: $1.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 22 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 187,002 Underlying: Common Stock · 187,002 shares Expires 2021-08-30 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F15 · price: On July 29, 2020, the warrant was amended to extend the expiration date from July 30, 2020 to August 30, 2021. The amendment is reported above as the cancellation of the old warrant and the acquisition of the new one. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| July 29, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 187,002 | Not disclosed Strike: $1.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 21 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 187,002 shares Expires 2020-07-30 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F15 · price: On July 29, 2020, the warrant was amended to extend the expiration date from July 30, 2020 to August 30, 2021. The amendment is reported above as the cancellation of the old warrant and the acquisition of the new one. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| July 13, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantWarrants (right to buy) · Derivative | 299,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 16 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 299,750 Underlying: Common Stock · 299,750 shares Expires 2025-07-13 F6 · derivative.exercise_price: See Exhibit 99.1 F11 · derivative.exercise_price: Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. F6 · price: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 12, 2020 Filed Jun 17, 2020 06:04 UTC | EVmo, Inc. YAYO · Entity 117051 | PurchaseCommon Stock | 51,500 | $0.40 | $20,440.35 |
DisclosureSEC source: 0001493152-20-011309 · ownership.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,230,512 F1 · balance_after: Acuitas Group Holdings, LLC, is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 11, 2020 Filed Jun 17, 2020 06:04 UTC | EVmo, Inc. YAYO · Entity 117051 | PurchaseCommon Stock | 199,600 | $0.33 | $65,309.12 |
DisclosureSEC source: 0001493152-20-011309 · ownership.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,179,012 F1 · balance_after: Acuitas Group Holdings, LLC, is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 10, 2020 Filed Jun 17, 2020 06:04 UTC | EVmo, Inc. YAYO · Entity 117051 | PurchaseCommon Stock | 100,000 | $0.33 | $33,380.00 |
DisclosureSEC source: 0001493152-20-011309 · ownership.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,979,412 F1 · balance_after: Acuitas Group Holdings, LLC, is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 08, 2020 Filed Jun 17, 2020 06:04 UTC | EVmo, Inc. YAYO · Entity 117051 | PurchaseCommon Stock | 100,000 | $0.23 | $22,960.00 |
DisclosureSEC source: 0001493152-20-011309 · ownership.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,879,412 F1 · balance_after: Acuitas Group Holdings, LLC, is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 08, 2020 Filed Jun 17, 2020 06:04 UTC | EVmo, Inc. YAYO · Entity 117051 | PurchaseCommon Stock | 1,000,000 | $0.15 | $150,000.00 |
DisclosureSEC source: 0001493152-20-011309 · ownership.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,779,412 F1 · balance_after: Acuitas Group Holdings, LLC, is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 05, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | GiftCommon Stock | 6,239 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 8 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,119,155 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F9 · ownership.nature: Represents a transfer of shares by Acuitas to Brianna Bell, an individual unaffiliated with Mr. Peizer and Acuitas, for no consideration. Read SEC document |
| April 21, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 3,803,028 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 7 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,125,394 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F8 · ownership.nature: Represents a transfer of shares by Crede III to Acuitas for no consideration. Read SEC document |
| April 21, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | GiftCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Crede III Disclosed balance after: 9,125,394 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F7 · ownership.nature: Represents a transfer of shares by Crede CG III, Ltd. ("Crede III") to The Giving Back Fund, an entity unaffiliated with Mr. Peizer and Acuitas, for no consideration. Mr. Peizer is the Managing Director of Crede III and, in such capacity, exercises voting and investment power over any securities held for the accounts of Crede III. Read SEC document |
| January 30, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 1,041,616 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,140,394 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F6 · ownership.nature: Represents a transfer of shares by Crede II to Acuitas for no consideration. Read SEC document |
| January 30, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | GiftCommon Stock | 5,455 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Crede II Disclosed balance after: 9,140,394 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F5 · ownership.nature: Represents a transfer of shares by Crede CG II, Ltd. ("Crede II") to Gabrielle's Angel Foundation, an entity unaffiliated with Mr. Peizer and Acuitas, for no consideration. Crede II is no longer in existence. Mr. Peizer previously exercised voting and investment power over any securities held for the account of Crede II. Read SEC document |
| January 02, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCommon Stock | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,258,956 F4 · shares: The Issuer granted 1,600 shares of common stock to the reporting person as compensation for his service on the Issuer's board of directors. Read SEC document |
| January 02, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCommon Stock | 4,422 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,257,356 F7 · price: The Issuer paid $13,487 of accrued interest on the Debenture through the issuance of 4,422 shares of the Issuer's common stock to Acuitas. F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| December 31, 2019 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 224,464 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,145,849 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F4 · ownership.nature: Represents a transfer of shares by Socius to Acuitas for no consideration. Read SEC document |
| December 31, 2019 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | GiftCommon Stock | 39,454 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Socius Disclosed balance after: 9,145,849 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F3 · ownership.nature: Represents a transfer of shares by Socius to Esousa Holdings, LLC, an entity unaffiliated with Mr. Peizer and Acuitas, for no consideration. Read SEC document |
| December 31, 2019 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | GiftCommon Stock | 1,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Socius Disclosed balance after: 9,185,303 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F2 · ownership.nature: Represents a transfer of shares by Socius CG II, Ltd. ("Socius") to The Quell Foundation, an entity unaffiliated with Mr. Peizer and Acuitas, for no consideration. Socius is no longer in existence. Mr. Peizer previously exercised voting and investment power over any securities held for the accounts of Socius. Read SEC document |
| November 12, 2019 Filed Jun 17, 2020 06:04 UTC | EVmo, Inc. YAYO · Entity 117051 | PurchaseCommon Stock | 125,000 | $4.00 | $500,000.00 |
DisclosureSEC source: 0001493152-20-011309 · ownership.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,779,412 F1 · balance_after: Acuitas Group Holdings, LLC, is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 24, 2019 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantWarrants (right to buy) · Derivative | 1,250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 15 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,250,000 Underlying: Common Stock · 1,250,000 shares Expires 2024-09-24 F6 · derivative.exercise_price: See Exhibit 99.1 F11 · derivative.exercise_price: Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F6 · price: See Exhibit 99.1 F2 · derivative.underlying_shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F2 · balance_after: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 24, 2019 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | Grant10% Convertible Debenture due 2020 · Derivative | Not disclosed | Not disclosed | $2,000,000.00 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 14 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2020-09-24 F6 · derivative.exercise_price: See Exhibit 99.1 F6 · reported_value: See Exhibit 99.1 F6 · price: See Exhibit 99.1 F6 · derivative.underlying_shares: See Exhibit 99.1 F6 · valueOwnedAfter: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 24, 2019 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCommon Stock | 1,125,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,252,934 F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F6 · price: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 24, 2019 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | Disposition to issuerWarrants (right to buy) · Derivative | 1,713,331 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 13 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,713,331 shares Expires 2024-07-03 F5 · derivative.exercise_price: Pursuant to a letter agreement with the Issuer dated June 24, 2019, Acuitas agreed to modify its existing rights under the 2018 SPA and agreed to immediately exchange the 2018 Warrants such that it effectively exercised its warrant in full pursuant to a cashless exercise thereof at an assumed then-current market price of $45 per share (adjusted to reflect the Reverse Stock Split) and, as a result, received an aggregate of 95% of the shares covered thereby. F5 · date: Pursuant to a letter agreement with the Issuer dated June 24, 2019, Acuitas agreed to modify its existing rights under the 2018 SPA and agreed to immediately exchange the 2018 Warrants such that it effectively exercised its warrant in full pursuant to a cashless exercise thereof at an assumed then-current market price of $45 per share (adjusted to reflect the Reverse Stock Split) and, as a result, received an aggregate of 95% of the shares covered thereby. F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F5 · price: Pursuant to a letter agreement with the Issuer dated June 24, 2019, Acuitas agreed to modify its existing rights under the 2018 SPA and agreed to immediately exchange the 2018 Warrants such that it effectively exercised its warrant in full pursuant to a cashless exercise thereof at an assumed then-current market price of $45 per share (adjusted to reflect the Reverse Stock Split) and, as a result, received an aggregate of 95% of the shares covered thereby. F2 · derivative.underlying_shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 24, 2019 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCommon Stock | 1,526,334 | $45.00 | $68,685,030.00 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,127,934 F5 · date: Pursuant to a letter agreement with the Issuer dated June 24, 2019, Acuitas agreed to modify its existing rights under the 2018 SPA and agreed to immediately exchange the 2018 Warrants such that it effectively exercised its warrant in full pursuant to a cashless exercise thereof at an assumed then-current market price of $45 per share (adjusted to reflect the Reverse Stock Split) and, as a result, received an aggregate of 95% of the shares covered thereby. F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| January 02, 2019 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCommon Stock | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,601,600 F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F4 · shares: The Issuer granted 1,600 shares of common stock to the reporting person as compensation for his service on the Issuer's board of directors. Read SEC document |
| August 13, 2018 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | ConversionCommon Stock | 1,600,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,600,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · date: See Exhibit 99.1 F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F1 · price: See Exhibit 99.1 F2 · balance_after: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| August 03, 2018 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | ConversionSeries A Convertible Preferred Stock · Derivative | 1,600,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 12 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,600,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: See Exhibit 99.1 F1 · date: See Exhibit 99.1 F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F10 · price: See Exhibit 99.1 F10 · derivative.exercise_date: See Exhibit 99.1 F10 · derivative.expiration_date: See Exhibit 99.1 F2 · derivative.underlying_shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 21:42 UTC | Ontrak, Inc. CATS · Entity 78207 | GrantStock Option to purchase Common Stock · Derivative | 397,693 | Not disclosed Strike: $7.50 | Not disclosed |
DisclosureSEC source: 0001437749-18-014473 · rdgdoc.xml · derivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 397,693 Underlying: Common Stock · 397,693 shares Expires 2028-08-02 F1 · kind: These options were granted to Mr. Peizer for his services as the Chairman and Chief Executive Officer of the Company. F1 · price: These options were granted to Mr. Peizer for his services as the Chairman and Chief Executive Officer of the Company. F2 · derivative.exercise_date: These options shall vest on January 1, 2023, if the Volume Weighted Average Price of the Company's shares is above $15.00 for at least twenty (20) trading days within a period of thirty (30) consecutive trading days ending on the trading day prior to January 1, 2023. Read SEC document |
| July 03, 2018 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseWarrants (right to buy) · Derivative | 1,713,331 | Not disclosed Strike: $2.25 | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 11 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,713,331 Underlying: Common Stock · 1,713,331 shares Expires 2024-07-03 F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F10 · price: See Exhibit 99.1 F2 · derivative.underlying_shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F2 · balance_after: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| July 03, 2018 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseSeries A Convertible Preferred Stock · Derivative | 1,600,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 10 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,600,000 Underlying: Common Stock · 1,600,000 shares Expires not disclosed F10 · derivative.exercise_price: See Exhibit 99.1 F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F10 · price: See Exhibit 99.1 F10 · derivative.exercise_date: See Exhibit 99.1 F10 · derivative.expiration_date: See Exhibit 99.1 F2 · derivative.underlying_shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F2 · balance_after: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| December 19, 2017 Filed Dec 22, 2017 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | GrantStock Option to purchase Common Stock · Derivative | 642,307 | Not disclosed Strike: $7.50 | Not disclosed |
DisclosureSEC source: 0001437749-17-021141 · rdgdoc.xml · derivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 642,307 Underlying: Common Stock · 642,307 shares Expires 2027-12-19 F1 · kind: These options were granted to Mr. Peizer for his services as the Chairman and Chief Executive Officer of the Company. F1 · price: These options were granted to Mr. Peizer for his services as the Chairman and Chief Executive Officer of the Company. F2 · derivative.exercise_date: These options shall vest on January 1, 2023, if the Volume Weighted Average Price of the Company's shares is above $15.00 for at least twenty (20) trading days within a period of thirty (30) consecutive trading days ending on the trading day prior to January 1, 2023. Read SEC document |
| April 28, 2017 Filed May 2, 2017 19:52 UTC | Ontrak, Inc. CATS · Entity 78207 | GrantCommon Stock, par value $0.0001 | 233,735 | $4.80 | $1,121,928.00 |
DisclosureSEC source: 0001437749-17-007786 · rdgdoc.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,193,042 F5 · security: Terren Peizer deferred part of his salary in the amount of $1.1 million for the 2016 and 2015 years. On April 28, 2017, the Company issued 233,734 shares to Mr. Peizer as payment of such deferred salary. F5 · kind: Terren Peizer deferred part of his salary in the amount of $1.1 million for the 2016 and 2015 years. On April 28, 2017, the Company issued 233,734 shares to Mr. Peizer as payment of such deferred salary. Read SEC document |
| April 28, 2017 Filed May 2, 2017 19:52 UTC | Ontrak, Inc. CATS · Entity 78207 | ConversionCommon Stock, par value $0.0001 | 2,385,111 | $1.80 | $4,293,199.80 |
DisclosureSEC source: 0001437749-17-007786 · rdgdoc.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Crede CG III, Ltd. Disclosed balance after: 8,959,307 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: In July 2015, Catasys, Inc., a Delaware corporation (the "Company") entered into a $3.56 million, 12% Original Issue Discount Convertible Debenture due January 18, 2016 (the "July 2015 Convertible Debenture") with Crede CG III, Ltd. ("Crede"). On April 28, 2017, Crede converted $4,293,198.01 principal amount of the July 2015 Convertible Debenture into 2,385,111 shares of the Company's common stock at the applicable conversion price. F3 · kind: In July 2015, Catasys, Inc., a Delaware corporation (the "Company") entered into a $3.56 million, 12% Original Issue Discount Convertible Debenture due January 18, 2016 (the "July 2015 Convertible Debenture") with Crede CG III, Ltd. ("Crede"). On April 28, 2017, Crede converted $4,293,198.01 principal amount of the July 2015 Convertible Debenture into 2,385,111 shares of the Company's common stock at the applicable conversion price. F4 · ownership.nature: The reporting person is the Managing Director of Crede and may be deemed to beneficially own or control the securities. The reporting person disclaims beneficial ownership of any such securities. Read SEC document |
| April 28, 2017 Filed May 2, 2017 19:52 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock, par value $0.0001 | 181,154 | $4.80 | $869,539.20 |
DisclosureSEC source: 0001437749-17-007786 · rdgdoc.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Group Holdings, LLC Disclosed balance after: 6,574,196 F1 · kind: These securities were purchased by Acuitas Group Holdings, LLC ("Acuitas") in connection with a public offering by the issuer pursuant to a Registration Statement on Form S-1 (Registration No. 333-216007). F2 · ownership.nature: The reporting person is the Managing Director of Acuitas and may be deemed to beneficially own or control the securities. The reporting person disclaims beneficial ownership of any such securities. Read SEC document |
| April 13, 2017 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 36,275 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 29 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 36,275 Underlying: Common Stock · 36,275 shares Expires 2022-04-13 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F21 · price: On April 13, 2017, the issuer issued to Acuitas a warrant exercisable for 217,647 shares of the issuer's common stock, at an exercise price of $0.85 per share, subject to potential future adjustments pursuant to the terms of the warrant. The warrants were issued to Acuitas in connection with the issuer's issuance of convertible debentures to Acuitas. The exercise price of the warrant was subsequently adjusted to $0.80 per share. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| March 29, 2017 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 187,002 | Not disclosed Strike: $1.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 20 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 187,002 Underlying: Common Stock · 187,002 shares Expires 2020-07-30 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F14 · price: On March 29, 2017, Acuitas and the issuer amended an outstanding warrant exercisable for 935,008 shares of the issuer's common stock, to increase the number of shares issuable thereunder by 187,002 shares, effective upon the closing of a public offering of the issuer's common stock (which offering closed on April 28, 2017). The amendment is reported above as the cancellation of the old warrant and the acquisition of the new one. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| March 29, 2017 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 155,834 | Not disclosed Strike: $1.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 19 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 155,834 shares Expires 2020-07-30 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F14 · price: On March 29, 2017, Acuitas and the issuer amended an outstanding warrant exercisable for 935,008 shares of the issuer's common stock, to increase the number of shares issuable thereunder by 187,002 shares, effective upon the closing of a public offering of the issuer's common stock (which offering closed on April 28, 2017). The amendment is reported above as the cancellation of the old warrant and the acquisition of the new one. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| March 28, 2017 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 49,020 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 28 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 49,020 Underlying: Common Stock · 49,020 shares Expires 2022-03-28 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F20 · price: On March 28, 2017, the issuer issued to Acuitas a warrant exercisable for 294,118 shares of the issuer's common stock, at an exercise price of $0.85 per share, subject to potential future adjustments pursuant to the terms of the warrant. The warrants were issued to Acuitas in connection with the issuer's issuance of convertible debentures to Acuitas. The exercise price of the warrant was subsequently adjusted to $0.80 per share. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| March 06, 2017 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 49,020 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 27 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 49,020 Underlying: Common Stock · 49,020 shares Expires 2022-03-06 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F19 · price: On March 6, 2017, the issuer issued to Acuitas a warrant exercisable for 294,118 shares of the issuer's common stock, at an exercise price of $0.85 per share, subject to potential future adjustments pursuant to the terms of the warrant. The warrants were issued to Acuitas in connection with the issuer's issuance of convertible debentures to Acuitas. The exercise price of the warrant was subsequently adjusted to $0.80 per share. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| February 17, 2017 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 61,765 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 26 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 61,765 Underlying: Common Stock · 61,765 shares Expires 2022-02-17 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F18 · price: On February 17, 2017, the issuer issued to Acuitas a warrant exercisable for 370,588 shares of the issuer's common stock, at an exercise price of $0.85 per share, subject to potential future adjustments pursuant to the terms of the warrant. The warrants were issued to Acuitas in connection with the issuer's issuance of convertible debentures to Acuitas. The exercise price of the warrants was subsequently adjusted to $0.80 per share. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| January 31, 2017 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 196,707 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 25 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 196,707 Underlying: Common Stock · 196,707 shares Expires 2022-01-31 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F17 · price: On January 31, 2017, the issuer issued to Acuitas warrants exercisable for an aggregate of 1,180,234 shares of the issuer's common stock, at an exercise price of $0.85 per share, subject to potential future adjustments pursuant to the terms of the warrants. The warrants were issued to Acuitas in connection with the issuer's issuance of convertible debentures to Acuitas. The exercise price of the warrants was subsequently adjusted to $0.80 per share. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| December 15, 2016 Filed Dec 23, 2016 16:25 UTC | Ontrak, Inc. CATS · Entity 78207 | OtherConvertible Debenture · Derivative | 2,557,088 | Not disclosed Strike: $1.10 | Not disclosed |
DisclosureSEC source: 0001437749-16-043754 · rdgdoc.xml · derivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Group Holdings, LLC Disclosed balance after: 2,557,088 Underlying: Common Stock · 2,557,088 shares Expires 2017-03-15 F3 · security: On December 15, 2016, Catasys issued the Convertible Debenture to Acuitas. At the option of the holder, the Convertible Debenture is convertible into 2,557,088 shares of common stock at an exercise price of $1.10 per share, subject to potential future adjustment pursuant to the terms of the Convertible Debenture. F3 · kind: On December 15, 2016, Catasys issued the Convertible Debenture to Acuitas. At the option of the holder, the Convertible Debenture is convertible into 2,557,088 shares of common stock at an exercise price of $1.10 per share, subject to potential future adjustment pursuant to the terms of the Convertible Debenture. F3 · price: On December 15, 2016, Catasys issued the Convertible Debenture to Acuitas. At the option of the holder, the Convertible Debenture is convertible into 2,557,088 shares of common stock at an exercise price of $1.10 per share, subject to potential future adjustment pursuant to the terms of the Convertible Debenture. F2 · ownership.nature: The reporting person is the Managing Director and 100% owner of Acuitas Group Holdings, LLC, and may be deemed to beneficially own or control the securities. The reporting person disclaims beneficial ownership of any such securities. Read SEC document |
| December 15, 2016 Filed Dec 23, 2016 16:25 UTC | Ontrak, Inc. CATS · Entity 78207 | OtherWarrant to purchase · Derivative | 1,022,835 | Not disclosed Strike: $1.10 | Not disclosed |
DisclosureSEC source: 0001437749-16-043754 · rdgdoc.xml · derivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Group Holdings, LLC Disclosed balance after: 1,022,835 Underlying: Common Stock · 1,022,835 shares Expires 2021-12-15 F1 · security: On December 15, 2016, Catasys, Inc. ("Catasys") issued to Acuitas Group Holdings, LLC ("Acuitas") a warrant exercisable for 1,022,835 shares of Catasys common stock at an exercise price of $1.10 per share (the "Warrant"), subject to potential future adjustment pursuant to the terms of the Warrant. The Warrant was issued to Acuitas concurrently and in connection with a debt financing, pursuant to which Catasys issued to Acuitas an 8% senior convertible debenture dated as of December 15, 2016 (the "Convertible Debenture") F1 · kind: On December 15, 2016, Catasys, Inc. ("Catasys") issued to Acuitas Group Holdings, LLC ("Acuitas") a warrant exercisable for 1,022,835 shares of Catasys common stock at an exercise price of $1.10 per share (the "Warrant"), subject to potential future adjustment pursuant to the terms of the Warrant. The Warrant was issued to Acuitas concurrently and in connection with a debt financing, pursuant to which Catasys issued to Acuitas an 8% senior convertible debenture dated as of December 15, 2016 (the "Convertible Debenture") F1 · price: On December 15, 2016, Catasys, Inc. ("Catasys") issued to Acuitas Group Holdings, LLC ("Acuitas") a warrant exercisable for 1,022,835 shares of Catasys common stock at an exercise price of $1.10 per share (the "Warrant"), subject to potential future adjustment pursuant to the terms of the Warrant. The Warrant was issued to Acuitas concurrently and in connection with a debt financing, pursuant to which Catasys issued to Acuitas an 8% senior convertible debenture dated as of December 15, 2016 (the "Convertible Debenture") F2 · ownership.nature: The reporting person is the Managing Director and 100% owner of Acuitas Group Holdings, LLC, and may be deemed to beneficially own or control the securities. The reporting person disclaims beneficial ownership of any such securities. Read SEC document |
| August 15, 2016 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | PurchaseWarrants to Purchase · Derivative | 498,927 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 24 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 498,927 Underlying: Common Stock · 498,927 shares Expires 2021-08-15 F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F16 · price: On August 15, 2016, Acuitas and the issuer agreed to exchange certain outstanding warrants to purchase an aggregate of 2,028,029 shares of the issuer's common stock, at an exercise price of $0.33 per share, for a new warrant exercisable for 2,993,561 shares of the issuer's common stock, at an exercise price of $1.10 per share. The new warrant was in the form substantially identical to the form of the old warrants. The warrant exchange occurred in connection with the exchange of certain notes previously issued by the issuer to Acuitas. The exercise price of the warrant was subsequently adjusted to $0.80 per share. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · balance_after: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| August 15, 2016 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 338,005 | Not disclosed Strike: $1.98 | Not disclosed |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 23 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 338,005 shares Expires not disclosed F1 · security: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F16 · price: On August 15, 2016, Acuitas and the issuer agreed to exchange certain outstanding warrants to purchase an aggregate of 2,028,029 shares of the issuer's common stock, at an exercise price of $0.33 per share, for a new warrant exercisable for 2,993,561 shares of the issuer's common stock, at an exercise price of $1.10 per share. The new warrant was in the form substantially identical to the form of the old warrants. The warrant exchange occurred in connection with the exchange of certain notes previously issued by the issuer to Acuitas. The exercise price of the warrant was subsequently adjusted to $0.80 per share. F16 · derivative.exercise_date: On August 15, 2016, Acuitas and the issuer agreed to exchange certain outstanding warrants to purchase an aggregate of 2,028,029 shares of the issuer's common stock, at an exercise price of $0.33 per share, for a new warrant exercisable for 2,993,561 shares of the issuer's common stock, at an exercise price of $1.10 per share. The new warrant was in the form substantially identical to the form of the old warrants. The warrant exchange occurred in connection with the exchange of certain notes previously issued by the issuer to Acuitas. The exercise price of the warrant was subsequently adjusted to $0.80 per share. F16 · derivative.expiration_date: On August 15, 2016, Acuitas and the issuer agreed to exchange certain outstanding warrants to purchase an aggregate of 2,028,029 shares of the issuer's common stock, at an exercise price of $0.33 per share, for a new warrant exercisable for 2,993,561 shares of the issuer's common stock, at an exercise price of $1.10 per share. The new warrant was in the form substantially identical to the form of the old warrants. The warrant exchange occurred in connection with the exchange of certain notes previously issued by the issuer to Acuitas. The exercise price of the warrant was subsequently adjusted to $0.80 per share. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.