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Ontrak, Inc. – ‘S-8’ on 1/20/23

On:  Friday, 1/20/23, at 5:01pm ET   ·   Effective:  1/20/23   ·   Accession #:  1628280-23-1360   ·   File #:  333-269341

Previous ‘S-8’:  ‘S-8’ on 12/21/22   ·   Next & Latest:  ‘S-8’ on 4/22/24   ·   5 References:   

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

 1/20/23  Ontrak, Inc.                      S-8         1/20/23    4:99K                                    Workiva Inc Wde… FA01/FA

Registration Statement – Securities for an Employee Benefit Plan   —   Form S-8   —   SA’33

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: S-8         Registration Statement - Securities for an          HTML     54K 
                Employee Benefit Plan                                            
 3: EX-5.1      Opinion of Counsel re: Legality                     HTML      9K 
 4: EX-23.2     Consent of Expert or Counsel                        HTML      6K 
 2: EX-FILING FEES  Filing Fees                                     HTML     16K 


‘S-8’   —   Registration Statement – Securities for an Employee Benefit Plan

Document Table of Contents

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11st Page  –  Filing Submission
"Power of Attorney (included on signature pages)

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  Document  

As filed with the Securities and Exchange Commission on January 20, 2023
Registration Statement No.  333−
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.  20549
            
FORM S-8
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
            
Ontrak, Inc.
(Exact name of registrant as specified in its charter)
            

Delaware
88-0464853
(State or other jurisdiction of
incorporation or organization)
(I.R.S. Employer
Identification No.)

2200 Paseo Verde Parkway, Suite 280
(Address of Principal Executive Offices)
(Zip Code)
Ontrak, Inc. 2017 Stock Incentive Plan
(Full title of the plan)
            
Terren S. Peizer
Chief Executive Officer
c/o Ontrak, Inc.
2200 Paseo Verde Parkway, Suite 280
Henderson, Nevada 89052
(Name and address of agent for service)
(310) 444-4300
(Telephone number, including area code, of agent for service)
            
With a copy to:
Mitchell S. Nussbaum
Norwood P. Beveridge
Lili Taheri

Loeb & Loeb LLP
345 Park Avenue
New York, New York 10154
(212) 407-4000
            




Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer
Accelerated filer
Non-accelerated filer
Smaller reporting company
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 7(a)(2)(B) of the Exchange Act. 
This Registration Statement will become effective upon filing in accordance with Rule 462(a) under the Securities Act.




PART I
STATEMENT OF INCORPORATION BY REFERENCE

This Registration Statement relates to securities of the same class as those to which prior effective registration statements on Form S-8 (File Nos. 333-222276, 333-229717, 333-251965, 333-261976, and 333-267316) relate (the “Existing S-8s”), and is submitted in accordance with General Instruction E to Form S-8 regarding Registration of Additional Securities. Pursuant to General Instruction E of Form S-8, the contents of the Existing S-8s, except as otherwise set forth in this Registration Statement, are incorporated herein by reference.


PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits. 
Exhibit No.Description
3.1
3.2
3.3
3.4
3.5
5.1
23.1
23.2
24.1
107.1








1




SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Henderson, State of Nevada, on this 20th day of January, 2023.
Ontrak, Inc.
By:    /s/ Terren S. Peizer        
Name:    Terren S. Peizer
Title:    Chairman of the Board of Directors
and Chief Executive Officer                         

KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints each of Terren S. Peizer and James J. Park his or her true and lawful attorney-in-fact and agent, for him or her and in his or her name, place and stead, in any and all capacities, to sign any and all amendments, including post-effective amendments, to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission granting unto said attorney-in-fact and agent, full power and authority to do and perform each and every act and thing requisite and necessary to be done, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.























2



Signature Title Date
     
/s/ Terren S. PeizerChairman of the Board and Chief Executive OfficerJanuary 20, 2023
Terren S. Peizer
/s/ James J. Park Chief Financial Officer January 20, 2023
James J. Park (Principal Financial and Accounting Officer)  
     
/s/ Richard A. Berman Director January 20, 2023
Richard A. Berman    
     
/s/ Michael Sherman Director January 20, 2023
Michael Sherman    
     
/s/ James M. Messina Director January 20, 2023
James M. Messina    























3


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘S-8’ Filing    Date    Other Filings
Filed on / Effective on:1/20/23None on these Dates
 List all Filings 


1 Subsequent Filing that References this Filing

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

 4/22/24  Ontrak, Inc.                      S-8         4/22/24    4:110K                                   Workiva Inc Wde… FA01/FA


4 Previous Filings that this Filing References

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

10/16/20  Ontrak, Inc.                      8-K:5,9    10/15/20   13:249K                                   Workiva Inc Wde… FA01/FA
 8/21/20  Ontrak, Inc.                      8-K:1,3,5,7 8/20/20   15:497K                                   RDG Filings/FA
 7/06/20  Ontrak, Inc.                      8-K:5,7,8,9 7/06/20   15:449K                                   Workiva Inc Wde… FA01/FA
10/04/19  Ontrak, Inc.                      DEF 14C     9/24/19    1:209K                                   RDG Filings/FA
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Filing Submission 0001628280-23-001360   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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