Filing Details
- Accession Number:
- 0001437749-18-004700
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-15 08:16:27
- Reporting Period:
- 2017-12-19
- Accepted Time:
- 2018-03-15 08:16:27
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1136174 | Catasys Inc. | CATS | Services-Misc Health & Allied Services, Nec (8090) | 880464853 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1730468 | Edward Michael Sherman | 11601 Wilshire Blvd Suite 1100 Los Angeles CA 90025 | Yes | No | No | 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, Par Value $0.0001 | Acquisiton | 2018-03-12 | 1,000 | $4.75 | 1,000 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-12 | 1,500 | $4.76 | 2,500 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-12 | 1,800 | $4.77 | 4,300 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-13 | 58 | $4.74 | 4,358 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-13 | 873 | $4.75 | 5,231 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-13 | 609 | $4.76 | 5,840 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-13 | 1,210 | $4.77 | 7,050 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-13 | 2,500 | $4.80 | 9,550 | No | 4 | P | Direct | |
Common Stock, Par Value $0.0001 | Acquisiton | 2018-03-13 | 6,000 | $4.83 | 15,550 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option to purchase Common Stock | Acquisiton | 2017-12-19 | 61,040 | $0.00 | 61,040 | $7.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
61,040 | 2022-12-19 | No | 4 | A | Direct |
Footnotes
- These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.
- These options have a three-year vesting period out of which 18,771 shares vested on December 19, 2017, the grant date, and 42,269 shares shall vest at the end of each calendar quarter for the 2018 and 2019 calendar years, such that all shares shall vest on December 31, 2019. Quarterly vesting of the option will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the board. All unvested options will immediately vest in the event of termination without cause.