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LaVerne Brandon H – ‘4’ for 3/25/20 re: Ontrak, Inc.

On:  Monday, 3/30/20, at 4:02pm ET   ·   For:  3/25/20   ·   Accession #:  1437749-20-6519   ·   File #:  1-31932

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

 3/30/20  LaVerne Brandon H                 4                      1:5K   Catasys, Inc.                     RDG Filings/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- rdgdoc.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2020-03-25 </periodOfReport>
<issuer>
<issuerCik> 0001136174 </issuerCik>
<issuerName> CATASYS, INC. </issuerName>
<issuerTradingSymbol> CATS </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001403585 </rptOwnerCik>
<rptOwnerName> LaVerne Brandon H </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 2120 COLORADO AVE. SUITE 230 </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> SANTA MONICA </rptOwnerCity>
<rptOwnerState> CA </rptOwnerState>
<rptOwnerZipCode> 90404 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isOfficer> 1 </isOfficer>
<officerTitle> Chief Financial Officer </officerTitle>
</reportingOwnerRelationship>
</reportingOwner>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Stock Option to purchase Common Stock </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 14.38 </value>
</conversionOrExercisePrice>
<transactionDate>
<value> 2020-03-25 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> A </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
<footnoteId id="F1"/>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 150000 </value>
</transactionShares>
<transactionPricePerShare>
<footnoteId id="F1"/>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<footnoteId id="F2"/>
</exerciseDate>
<expirationDate>
<value> 2030-03-25 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 150000 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 150000 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
</derivativeTable>
<footnotes>
<footnote id="F1"> These options were granted to Mr. LaVerne for his services as the Chief Financial Officer of the Company. </footnote>
<footnote id="F2"> 50,000 options shall vest one year from grant date and the remaining 100,000 options shall vest 1/24th over the next 24 months. </footnote>
</footnotes>
<ownerSignature>
<signatureName> /s/ Brandon LaVerne </signatureName>
<signatureDate> 2020-03-30 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001437749-20-006519   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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