Filing Details
- Accession Number:
- 0001181431-14-021683
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-29 17:37:05
- Reporting Period:
- 2014-05-27
- Filing Date:
- 2014-05-29
- Accepted Time:
- 2014-05-29 17:37:05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1136174 | Catasys Inc. | CATS:OTC | Services-Misc Health & Allied Services, Nec (8090) | 880464853 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1378591 | E David Smith | C/O Coast Asset Management, Llc 11150 Santa Monica Boulevard, Suite 1400 Los Angeles CA 90025 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-05-27 | 344,828 | $0.58 | 3,287,973 | No | 4 | P | Indirect | Through Shamus, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Through Shamus, LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Acquisiton | 2014-05-27 | 344,828 | $0.00 | 344,828 | $0.58 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 344,828 | 2019-05-27 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,388,709 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | $80.00 | 2015-07-06 | 3,750 | 3,750 | Direct | |
| Common Stock | Warrant | $4.00 | 2015-11-16 | 54,900 | 54,900 | Indirect | |
| Common Stock | Warrant | $0.58 | 2016-12-27 | 690,000 | 690,000 | Indirect | |
| Common Stock | Warrant | $0.58 | 2017-04-18 | 831,250 | 831,250 | Indirect | |
| Common Stock | Warrant | $0.58 | 2017-09-13 | 665,000 | 665,000 | Indirect | |
| Common Stock | Warrant | $0.58 | 2017-12-04 | 714,286 | 714,286 | Indirect | |
| Common Stock | Warrant | $0.58 | 2018-04-10 | 325,714 | 325,714 | Indirect | |
| Common Stock | Warrant | $0.58 | 2018-10-15 | 862,069 | 862,069 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-07-06 | 3,750 | 3,750 | Direct |
| 2015-11-16 | 54,900 | 54,900 | Indirect |
| 2016-12-27 | 690,000 | 690,000 | Indirect |
| 2017-04-18 | 831,250 | 831,250 | Indirect |
| 2017-09-13 | 665,000 | 665,000 | Indirect |
| 2017-12-04 | 714,286 | 714,286 | Indirect |
| 2018-04-10 | 325,714 | 325,714 | Indirect |
| 2018-10-15 | 862,069 | 862,069 | Indirect |
Footnotes
- On May 27, 2014, Shamus, LLC ("Shamus") purchased 344,828 shares of the common stock of Catasys, Inc. ("Catasys") from Catasys in a private placement at $0.58 per share. In connection with such purchase, Catasys also issued to Shamus a warrant exercisable for 344,828 shares of Catasys common stock at the exercise price of $0.58 per share, subject to potential future adjustment pursuant to the provisions of the warrant.
- Exercisable immediately.
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