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Ontrak, Inc. – ‘8-K’ for 7/6/20

On:  Monday, 7/6/20, at 4:31pm ET   ·   For:  7/6/20   ·   Accession #:  1628280-20-10214   ·   File #:  1-31932

Previous ‘8-K’:  ‘8-K/A’ on 7/1/20 for 6/30/20   ·   Next:  ‘8-K’ on 7/17/20 for 7/16/20   ·   Latest:  ‘8-K’ on / for 11/28/23   ·   26 References:   

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

 7/06/20  Ontrak, Inc.                      8-K:5,7,8,9 7/06/20   15:449K                                   Workiva Inc Wde… FA01/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     39K 
 2: EX-3.1      Articles of Incorporation/Organization or Bylaws    HTML     12K 
 3: EX-3.2      Articles of Incorporation/Organization or Bylaws    HTML     93K 
 4: EX-99.1     Miscellaneous Exhibit                               HTML     19K 
11: R1          Cover                                               HTML     51K 
13: XML         IDEA XML File -- Filing Summary                      XML     13K 
10: XML         XBRL Instance -- cats-20200706_htm                   XML     24K 
12: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 6: EX-101.CAL  XBRL Calculations -- cats-20200706_cal               XML      7K 
 7: EX-101.DEF  XBRL Definitions -- cats-20200706_def                XML     10K 
 8: EX-101.LAB  XBRL Labels -- cats-20200706_lab                     XML     73K 
 9: EX-101.PRE  XBRL Presentations -- cats-20200706_pre              XML     36K 
 5: EX-101.SCH  XBRL Schema -- cats-20200706                         XSD     12K 
14: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    19K 
15: ZIP         XBRL Zipped Folder -- 0001628280-20-010214-xbrl      Zip     32K 


‘8-K’   —   Current Report


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 iX:   C:  C: 
  cats-20200706  
 i 0001136174 i FALSE i NASDAQ i --12-3100011361742020-07-062020-07-06

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM  i 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):  i July 6, 2020

Ontrak, Inc.
(Exact name of registrant as specified in its charter)

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

 i 2120 Colorado Ave.,  i Suite 230,  i Santa Monica,  i CA  i 90404
(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code   ( i 310)  i 444-4300
 i Catasys, Inc.
(Former name or former address, if changed since last report.)

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

Title of each classTrading Symbol(s)Name of each exchange on which registered
 i Common Stock, $0.0001 par value i CATS*
The  i NASDAQ Capital Market

* Effective July 7, 2020, such trading symbol will be changed to OTRK in connection with the matters reported in this filing.

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):

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

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

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

 i    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   i 

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 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

On July 6, 2020, Catasys, Inc. (the "Company") filed with the Secretary of State of Delaware a Certificate of Amendment (the "Charter Amendment") to its Amended and Restated Certificate of Incorporation to change its corporate name to Ontrak, Inc. The Company's board of directors approved the Charter Amendment and an amendment and restatement of the Company's Bylaws (the "Old Bylaws" and, as amended and restated, the "Amended and Restated Bylaws") reflecting the name change. No other changes were made to the Old Bylaws.

Copies of the Charter Amendment and the Amended and Restated Bylaws are attached hereto as Exhibit 3.1 and Exhibit 3.2, respectively, and incorporated herein by reference.

Item 7.01
 Regulation FD Disclosure.

On July 6, 2020, the Company issued a press release announcing the corporate name change and ticker symbol change. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated into this Item 7.01 by reference.

The information contained in this Item 7.01 (including Exhibit 99.1) is furnished pursuant to Item 7.01 and shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section.

Item 8.01Other Events.

Change of Ticker Symbol and CUSIP Number
In connection with the Company's corporate name change, we also changed the ticker symbol for our common stock on the Nasdaq Capital Market, which previously traded under the ticker symbol CATS. Effective July 7, 2020, our common stock will commence trading under the ticker symbol OTRK. The name change resulted in a change to the CUSIP number for the Company's common stock. The new CUSIP number is 683373104. Outstanding stock certificates for shares of Company's common stock continue to be valid and need not be exchanged to reflect the name change although we recommend that stockholders wishing to retain current evidence of ownership exchange such certificates to reflect the new corporate name and CUSIP number.
New Corporate Website

In connection with the corporate name change, the Company launched a new corporate website: www.ontrak-inc.com. The information on our website is not incorporated into this Current Report on Form 8-K and you should not consider any information on, or that can be accessed through, our website as part hereof.

Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.

Exhibit No.  Description
3.1  Certificate of Amendment of Certificate of Incorporation, filed July 6, 2020.
3.2  Amended and Restated Bylaws of Ontrak, Inc., effective July 6, 2020.
99.1  Press release dated July 6, 2020.
104  Cover Page Interactive Data File (formatted as Inline XBRL).





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.

ONTRAK, INC.
Date:  July 6, 2020By:/s/ Brandon LaVerne
Brandon LaVerne
Chief Financial Officer



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
7/7/20None on these Dates
Filed on / For Period end:7/6/20
 List all Filings 


26 Subsequent Filings that Reference this Filing

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

11/02/23  Ontrak, Inc.                      S-1/A                  8:1.3M                                   Workiva Inc Wde… FA01/FA
10/05/23  Ontrak, Inc.                      S-1/A                  2:603K                                   Workiva Inc Wde… FA01/FA
 9/29/23  Ontrak, Inc.                      S-1/A                  8:1.2M                                   Workiva Inc Wde… FA01/FA
 8/28/23  Ontrak, Inc.                      S-1/A                 12:1.6M                                   Workiva Inc Wde… FA01/FA
 8/11/23  Ontrak, Inc.                      S-1/A                  2:680K                                   Workiva Inc Wde… FA01/FA
 6/29/23  Ontrak, Inc.                      S-1                    3:695K                                   Workiva Inc Wde… FA01/FA
 4/17/23  Ontrak, Inc.                      10-K       12/31/22   92:10M                                    Workiva Inc Wde… FA01/FA
 1/20/23  Ontrak, Inc.                      S-8         1/20/23    4:99K                                    Workiva Inc Wde… FA01/FA
12/21/22  Ontrak, Inc.                      S-8        12/21/22    4:103K                                   Workiva Inc Wde… FA01/FA
 9/07/22  Ontrak, Inc.                      S-8         9/07/22    4:101K                                   Workiva Inc Wde… FA01/FA
 8/02/22  Ontrak, Inc.                      S-8         8/02/22    4:108K                                   Workiva Inc Wde… FA01/FA
 4/15/22  Ontrak, Inc.                      10-K       12/31/21   92:9.5M                                   Workiva Inc Wde… FA01/FA
 3/29/22  Ontrak, Inc.                      S-8         3/29/22    4:111K                                   Workiva Inc Wde… FA01/FA
 1/03/22  Ontrak, Inc.                      S-8         1/03/22    3:107K                                   Workiva Inc Wde… FA01/FA
 9/03/21  Ontrak, Inc.                      S-3                    5:1.2M                                   Workiva Inc Wde… FA01/FA
 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
 1/08/21  Ontrak, Inc.                      S-8         1/08/21    3:89K                                    RDG Filings/FA
12/16/20  Ontrak, Inc.                      424B5                  1:611K                                   RDG Filings/FA
12/15/20  Ontrak, Inc.                      424B5                  1:612K                                   RDG Filings/FA
11/05/20  Ontrak, Inc.                      10-Q        9/30/20   70:6.7M                                   Workiva Inc Wde… FA01/FA
 9/30/20  Ontrak, Inc.                      S-3/A                  1:179K                                   Workiva Inc Wde… FA01/FA
 9/14/20  Ontrak, Inc.                      S-3         9/11/20    4:1.1M                                   Workiva Inc Wde… FA01/FA
 8/21/20  Ontrak, Inc.                      424B5                  1:665K                                   RDG Filings/FA
 8/21/20  Ontrak, Inc.                      8-A12B                 1:21K                                    RDG Filings/FA
 8/20/20  Ontrak, Inc.                      424B5                  1:665K                                   RDG Filings/FA
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