Peizer Terren S 的 Form 4 申報
Ontrak, Inc.（OTRK），2024/10/3 申報
- 申報編號
- 0001104659-24-106020
- 申報時間
- 2024/10/3 20:11 ET
- 交易日
- 2024/9/30
- 申報延遲
- 3 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 2 筆衍生性交易。交易後 3 天才申報，超過 2 個營業日的期限。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Peizer Terren SCIK 0000904534 | 持股 10% 以上大股東 |
| Acuitas Group Holdings, LLCCIK 0001797168 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
這份申報沒有這一類的交易。
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F2
As previously disclosed, Ontrak and Acuitas Capital LLC, an entity wholly owned by Acuitas ("Acuitas Capital"), entered into the Sixth Amendment (the "Sixth Amendment") to the Master Note Purchase Agreement, dated March 28, 2024 (as amended by the Sixth Amendment, the "Keep Well Agreement"), pursuant to which, on September 30, 2024, Acuitas Capital purchased from Ontrak a senior secured promissory note (in the form attached thereto, the "Demand Note") in principal amount of $1.0 million.
表 II 有 2 筆交易的價格引用這則附註。
- F3
The Demand Note is payable upon demand of the holder. Under the Sixth Amendment, the entire principal amount of the Demand Note (plus accrued and unpaid interest thereon) is convertible, at Acuitas Capital's option, into shares of Ontrak's common stock, at a conversion price equal to the lesser of $5.40 and greater of (i) the consolidated closing bid price of Ontrak's common stock immediately prior to the applicable conversion date and (ii) $1.80 (subject to further adjustment).
表 II 有 1 筆交易的價格引用這則附註。
- F4
Pursuant to the terms of the Sixth Amendment, in connection with the purchase of the Demand Note on September 30, 2024, Ontrak issued to Acuitas a five-year warrant, in the form attached to the Sixth Amendment, to purchase up to 760,456 shares of Ontrak's common stock, exercisable upon issuance at an initial exercise price of $2.63 per share (subject to further adjustment).
表 II 有 1 筆交易的價格引用這則附註。
備註
All share amounts, as well as the exercise/conversion prices and similar amounts, reported herein reflect and give effect to Ontrak's 1:15 reverse stock split, effective on September 23, 2024.