SEC Info - Catasys, Inc. - ‘8-K’ for 12/16/19

SEC Info℠

Home

Help

Please Sign In

Catasys, Inc. – ‘8-K’ for 12/16/19

On: Friday, 12/20/19, at 5:15pm ET · For: 12/16/19 · Accession #: 1437749-19-24735 · File #: 1-31932

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/20/19  Catasys, Inc.                     8-K:5,9    12/16/19    2:44K                                    RDG Filings/FA

Current Report — Form 8-K — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     14K 
 2: EX-10.1     Material Contract                                   HTML     16K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

C: <> <>

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): December 16, 2019

Catasys, Inc.

(Exact name of registrant as specified in its charter)

Delaware		001-31932		88-0464853
(State or other jurisdiction of incorporation)		(Commission File Number)		(IRS Employer Identification No.)

2120 Colorado Blvd., Suite 230 Santa Monica, California		90404
(Address of principal executive offices)		(Zip Code)

Registrant’s telephone number, including area code (310) 444-4300

(Former name or former address, if changed since last report.)

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol(s)

Name of each exchange on which

registered

Common Stock, $0.0001 par value

CATS

The NASDAQ Capital Market

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On December 16, 2019, Catasys, Inc. (the “Company”) and Mr. Christopher Shirley, the Company’s Chief Financial Officer, entered into a Modification of Employment Agreement (the “Modification”) to his original employment agreement dated May 16, 2017. Pursuant to the terms of the Modification, amongst other things, Mr. Shirley’s base salary was increased from $285,000 to $345,000 annually, and Mr. Shirley shall receive a qualified incentive stock option to purchase 65,000 shares of common stock, par value $0.0001 per share, of the Company under and subject to all the provisions of the Company’s 2017 Stock Incentive Plan.

The Modification is attached to this Current Report on Form 8-K as Exhibit 10.1 and is incorporated herein by reference.

Item 9.01 Financial Statement and Exhibits.

(d) Exhibits.

Exhibit

No.

Description

10.1

Modification of Employment Agreement dated December 16, 2019 by and between the Company and Mr. Christopher Shirley.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

	CATASYS, INC.

Date: December 20, 2019	By:	/s/ *Christopher Shirley*
		Christopher Shirley
		Chief Financial Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on:	12/20/19
For Period end:	12/16/19	4
	5/16/17	3, 8-K
		List all Filings

3 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/30/21  Ontrak, Inc.                      10-K/A     12/31/20   14:705K                                   Workiva Inc Wde… FA01/FA
 3/09/21  Ontrak, Inc.                      10-K       12/31/20   89:8.6M                                   Workiva Inc Wde… FA01/FA
 8/06/20  Ontrak, Inc.                      10-K/A     12/31/19   71:7.5M                                   Workiva Inc Wde… FA01/FA

↑Top

Filing Submission 0001437749-19-024735 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)