Peizer Terren S's Form 4 filing
Ontrak, Inc. (OTRK) · filed Aug 13, 2021
- Accession no.
- 0001437749-21-019935
- Filed
- Aug 13, 2021, 9:46 PM ET
- Trade date
- Aug 11, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 14 non-derivative transactions and 7 derivative transactions. Open-market sales total $2.70M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Peizer Terren SCIK 0000904534 | Director, Officer (Executive Chairman), 10% Owner |
| Acuitas Group Holdings, LLCCIK 0001797168 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseAcquired | +170,473 | $4.80 | +$818,270.4 | 9,284,628 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseAcquired | +58,824 | $4.80 | +$282,355.2 | 9,343,452 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseAcquired | +137,883 | $4.80 | +$661,838.4 | 9,481,335 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseAcquired | +61,765 | $4.80 | +$296,472 | 9,543,100 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseAcquired | +49,020 | $4.80 | +$235,296 | 9,592,120 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseAcquired | +49,020 | $4.80 | +$235,296 | 9,641,140 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseAcquired | +36,275 | $4.80 | +$174,120 | 9,677,415 | Indirect | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −30,173 | $27.12 | −$818,246.5 | 9,647,242 | Indirect | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −10,411 | $27.12 | −$282,330.7 | 9,636,831 | Indirect | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −24,405 | $27.12 | −$661,826.99 | 9,612,426 | Indirect | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −10,932 | $27.12 | −$296,459.44 | 9,601,494 | Indirect | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −8,676 | $27.12 | −$235,280.11 | 9,592,818 | Indirect | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −8,676 | $27.12 | −$235,280.11 | 9,584,142 | Indirect | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −6,420 | $27.12 | −$174,100.77 | 9,577,722 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseDisposed | −170,473 | $0.00 | $0 | 0 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseDisposed | −58,824 | $0.00 | $0 | 0 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseDisposed | −137,883 | $0.00 | $0 | 0 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseDisposed | −61,765 | $0.00 | $0 | 0 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseDisposed | −49,020 | $0.00 | $0 | 0 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseDisposed | −49,020 | $0.00 | $0 | 0 | Indirect | |
| Aug 11, 2021 | Common Stock | XIn-the-money exerciseDisposed | −36,275 | $0.00 | $0 | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.