SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Ontrak, Inc. – ‘S-8’ on 3/29/22

On:  Tuesday, 3/29/22, at 4:18pm ET   ·   Effective:  3/29/22   ·   Accession #:  1628280-22-7704   ·   File #:  333-263942

Previous ‘S-8’:  ‘S-8’ on 1/3/22   ·   Next:  ‘S-8’ on 8/2/22   ·   Latest:  ‘S-8’ on 4/22/24   ·   7 References:   

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

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

 3/29/22  Ontrak, Inc.                      S-8         3/29/22    4:111K                                   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     35K 
                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     12K

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

Document Table of Contents

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

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

 <!   C:   C: 
  Document  

As filed with the Securities and Exchange Commission on March 29, 2022
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.)

2120 Colorado Avenue, #230
Santa Monica, California
90404
(Address of Principal Executive Offices)
(Zip Code)
Ontrak, Inc. 401(k) Plan
(Full title of the plan)
            
Terren S. Peizer
Executive Chairman
c/o Ontrak, Inc.
2120 Colorado Avenue, #230
Santa Monica, California 90404
(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 a prior effective registration statement on Form S-8 (File No. 333-237566) relates (the “Existing S-8”), 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-8, 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
Amended and Restated Certificate of Incorporation of Ontrak, Inc., incorporated by reference to Appendix A to Registrant’s Definitive Schedule 14C filed with the Securities and Exchange Commission on October 4, 2019.
3.2
Certificate of Amendment of the Certificate of Incorporation of Ontrak, Inc., incorporated by reference to Exhibit 3.1 of Registrant’s current report on Form 8-K filed with the Securities and Exchange Commission on July 6, 2020.
3.3
Certificate of Designations regarding Registrant’s 9.50% Series A Cumulative Perpetual Preferred Stock, incorporated by reference to Exhibit 3.1 of the Registrant’s current report on Form 8-K filed with the Securities and Exchange Commission on August 21, 2020.
3.4
Amendment No. 1 to Certificate of Designations regarding the Registrants 9.50% Series A Cumulative Perpetual Preferred Stock, incorporated by reference to Exhibit 3.1 of the Registrant’s current report on Form 8-K filed with the Securities and Exchange Commission on October 16, 2020.
3.5
Amended and Restated By-Laws of Ontrak, Inc., incorporated by reference to Exhibit 3.2 of the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on July 6, 2020.
5.1
Opinion of Loeb & Loeb LLP.
5.2
Copy of Internal Revenue Service Opinion Letter Regarding Qualification of the Ontrak, Inc. 401(k) Plan under Section 401 of the Internal Revenue Code (incorporated by reference to Exhibit 5.2 of Registration Statement Number 333-237566).
10.1
Ontrak, Inc. 401(k) Plan (incorporated by reference to Exhibit 10.1 of Registration Statement Number 333-237566).
23.1
Consent of Loeb & Loeb LLP (included in Exhibit 5.1).
23.2
Consent of EisnerAmper LLP.
24.1
Power of Attorney (included on signature pages).
107
Calculation of Filing Fee Table.





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 Santa Monica, State of California, on this 29th day of March, 2022.
Ontrak, Inc.
By:    /s/ Terren S. Peizer        
Name:    Terren S. Peizer
Title:    Chairman of the Board of Directors         and Executive Chairman
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints each of Terren S. Peizer and Brandon LaVerne 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 Executive ChairmanMarch 29, 2022
Terren S. Peizer
/s/ Jonathan Mayhew Chief Executive Officer March 29, 2022
Jonathan Mayhew (Principal Executive Officer)  
     
/s/ Brandon H. LaVerne Chief Financial Officer March 29, 2022
Brandon H. LaVerne (Principal Financial Officer)  
     
/s/ James J. Park Chief Accounting Officer March 29, 2022
James J. Park (Principal Accounting Officer)  
/s/ Richard A. Berman Director March 29, 2022
Richard A. Berman    
     
/s/ Michael Sherman Director March 29, 2022
Michael Sherman    
     
/s/ Edward Zecchini Director March 29, 2022
Edward Zecchini    
/s/ Diane Seloff Director March 29, 2022
Diane Seloff    
/s/ Robert Rebak Director March 29, 2022
Robert Rebak    








3

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘S-8’ Filing    Date    Other Filings
Filed on / Effective on:3/29/22None on these Dates
 List all Filings 

2 Subsequent Filings that Reference this Filing

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

12/21/22  Ontrak, Inc.                      S-8        12/21/22    4:103K                                   Workiva Inc Wde… FA01/FA
 8/02/22  Ontrak, Inc.                      S-8         8/02/22    4:108K                                   Workiva Inc Wde… FA01/FA

5 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
 4/03/20  Ontrak, Inc.                      S-8         4/03/20    5:21M                                    RDG Filings/FA
10/04/19  Ontrak, Inc.                      DEF 14C     9/24/19    1:209K                                   RDG Filings/FA
↑Top
Filing Submission 0001628280-22-007704   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Sat., Apr. 27, 5:10:00.1am ET