Peizer Terren S's Form 4 filing
Ontrak, Inc. (OTRK) · filed Sep 16, 2021
- Accession no.
- 0001437749-21-022291
- Filed
- Sep 16, 2021, 9:45 PM ET
- Trade date
- Sep 14-16, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $481.2K. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2021 | Common Stock | SSaleDisposed | −15,000 | $10.94F3 | −$164,130 | 9,262,722 | Indirect | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −15,000 | $10.57F4 | −$158,476.5 | 9,247,722 | Indirect | |
| Sep 16, 2021 | Common Stock | SSaleDisposed | −15,000 | $10.57F5 | −$158,614.5 | 9,232,722 | 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.
- F3
The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.6142 to $11.2901, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.42 to $10.75, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.43 to $10.77, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.