Filing Details
- Accession Number:
- 0000919574-11-005641
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-10-21 15:08:19
- Reporting Period:
- 2011-03-17
- Filing Date:
- 2011-10-21
- Accepted Time:
- 2011-10-21 15:08:19
- Original Submission Date:
- 2011-10-11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1136174 | Catasys Inc. | CATS.OB | 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 2450 Colorado Avenue, Suite 100E Tower Santa Monica CA 90404 | 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 | 2011-03-17 | 4,452,081 | $0.40 | 5,265,209 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-09-01 | 457 | $0.32 | 5,265,666 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-09-02 | 250 | $0.32 | 5,265,916 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Convertible Promissory Note | Disposition | 2011-03-17 | 1 | $0.00 | 4,452,081 | $0.40 |
| Common Stock | Warrant | Acquisiton | 2011-10-05 | 1 | $0.00 | 2,615,385 | $0.32 |
| Common Stock | Senior Secured Convertible Note | Acquisiton | 2011-10-05 | 1 | $0.00 | 2,615,385 | $0.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2 | 2012-11-16 | No | 4 | C | Direct | |
| 3 | 2016-10-05 | No | 4 | P | Direct | |
| 4 | 2016-10-05 | No | 4 | P | Direct |
Footnotes
- Price of the Common Stock was $0.01 per share pursuant to the conversion of a convertible promissory note. Transaction occurred prior to the Issuer's 40-1 reverse stock split.
- Exercisable at any time prior to expiration.
- The total consideration paid by Mr. Smith was $1,712,158. The convertible promissory note was convertible into Common Stock (upon the availability of sufficient authorized and unissued shares of the Common Stock), for up to the entire unpaid amount of principal of the Note ($1,712,158), together with any interest accrued but unpaid thereon, divided by $0.01. (Prior to the 40-1 reverse stock split).
- Pursuant to a securities purchase agreement entered into on October 5, 2011 between Catasys, Inc. and David E. Smith, Mr. Smith was issued a senior secured convertible note and a warrant. The total consideration paid by Mr. Smith was $680,000.
Billionaire Hedge Funds
