Statistik Asas
| LEI | 549300OQ36UO20X0DB40 |
| CIK | 1136174 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Ontrak, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| August 28, 2025 |
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): August 28, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 18, 2025 |
SEC FILE NUMBER 001-31932 CUSIP NUMBER 683373401 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 13, 2025 |
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): August 7, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| July 31, 2025 |
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): July 29, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 7, 2025 |
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): July 2, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 3, 2025 |
PRE-FUNDED COMMON STOCK PURCHASE WARRANT ONTRAK, INC. EXHIBIT 4.1 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: [] Issuance Date: June 30, 2025 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof ( |
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| July 3, 2025 |
PLACEMENT AGENCY AGREEMENT June 27, 2025 EXHIBIT 10.1 PLACEMENT AGENCY AGREEMENT June 27, 2025 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Ontrak, Inc., a Delaware corporation (the “Company”), hereby agrees to sell (a) up to an aggregate of $4,000,001.00 of registered securities of the Company, inclu |
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| July 3, 2025 |
COMMON STOCK PURCHASE WARRANT ONTRAK, INC. EXHIBIT 4.2 COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: [] Issue Date: June 30, 2025 THIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date that the Stockholder Approval is |
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| July 3, 2025 |
EXHIBIT 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 27, 2025, between Ontrak, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set forth |
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| July 3, 2025 |
EXHIBIT 10.3 LOCK-UP AGREEMENT [], 2025 Roth Capital Partners, LLC, as placement agent in the Offering (as defined below) Re: Offering (as defined below) by Ontrak, Inc. (the “Company”) Ladies and Gentlemen: The undersigned irrevocably agrees with the Company that, from the date hereof until 6 months following the closing of the Company’s offering of registered securities pursuant to an effective |
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| July 3, 2025 |
ONTRAK, INC. ANNOUNCES PRICING OF $4 MILLION PUBLIC OFFERING Exhibit 99.1 ONTRAK, INC. ANNOUNCES PRICING OF $4 MILLION PUBLIC OFFERING Miami, FL - June 27, 2025 — Ontrak, Inc. (NASDAQ: OTRK) (“Ontrak” or the “Company”), a leading value-based behavioral healthcare company powered by proprietary AI and engagement technology, today announced the pricing of a public offering of 6,666,667 shares of its common stock (or pre-funded warrants in lieu thereof) and 26 |
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| July 3, 2025 |
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): June 27, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 30, 2025 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-288099 2,366,665 Shares of Common Stock 4,300,002 Pre-Funded Warrants to Purchase 4,300,002 Shares of Common Stock 26,666,668 Warrants to Purchase 26,666,668 Shares of Common Stock Up to 30,966,670 Shares of Common Stock underlying the Pre-Funded Warrants and the Warrants Ontrak, Inc. This is a reasonable best efforts public offering of 2,366,6 |
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| June 30, 2025 |
EXHIBIT 10.3 AGREEMENT THIS AGREEMENT (this “Agreement”) is entered into effective as of June 27, 2025, by each of Humanitario Capital LLC, a Puerto Rico limited liability company (“Humanitario”) and Acuitas Capital LLC, a Delaware limited liability company (“Acuitas”), in favor of Ontrak, Inc., a Delaware corporation (“Company”). Capitalized terms not otherwise defined herein shall have the meani |
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| June 30, 2025 |
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): June 27, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 30, 2025 |
SEVENTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT EXHIBIT 10.1 SEVENTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This SEVENTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of June 27, 2025 (the “Seventh Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (“Pur |
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| June 30, 2025 |
EXHIBIT 10.2 AGREEMENT THIS AGREEMENT (this “Agreement”) is dated as of June 27, 2025, by the party set forth on the signature page hereto (the “Purchaser”) in favor of Ontrak, Inc., a Delaware corporation (“Company”). Capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Public Offering Warrants (as defined below). R E C I T A L S A. Pursuant to the |
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| June 20, 2025 |
EXHIBIT 4.9 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: [] Issuance Date: [], 2025 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “ |
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| June 20, 2025 |
Form of Placement Agency Agreement between Ontrak, Inc. and Roth Capital Partners, LLC. EXHIBIT 10.17 PLACEMENT AGENCY AGREEMENT [], 2025 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Ontrak, Inc., a Delaware corporation (the “Company”), hereby agrees to sell (a) up to an aggregate of $[] of registered securities of the Company, including, but not |
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| June 20, 2025 |
Form of Common Stock Purchase Warrant. EXHIBIT 4.10 COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: [] Issue Date: [], 2025 THIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date that the Stockholder Approval is obta |
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| June 20, 2025 |
Form of Securities Purchase Agreement. EXHIBIT 10.16 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [], 2025, between Ontrak, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set forth in t |
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| June 20, 2025 |
As filed with the Securities and Exchange Commission on June 20, 2025 As filed with the Securities and Exchange Commission on June 20, 2025 Registration Statement No. |
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| June 17, 2025 |
As filed with the Securities and Exchange Commission on June 16, 2025 As filed with the Securities and Exchange Commission on June 16, 2025 Registration Statement No. |
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| June 17, 2025 |
Exhibit 107 Calculation of Filing Fee Tables FORM S-1 (Form Type) ONTRAK, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1)(2) Fee Rate Amount of Registration Fee Fees to Be Paid Equity Common stock, $ |
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| May 20, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): May 19, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 20, 2025 |
EXHIBIT 10.1 May 19, 2025 Acuitas Capital, LLC 200 Dorado Beach Drive #3831 Dorado, Puerto Rico 00646 Attention: Terren S. Peizer Mr. Peizer: This letter agreement (this “Agreement”) relates to that certain Master Note Purchase Agreement, dated as of April 15, 2022, among Ontrak, Inc., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, Acuitas Capital LL |
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| May 20, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 20, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 20, 2025 |
Ontrak Health Announces 2025 First Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Health Announces 2025 First Quarter Financial Results •Q1 Revenue of $2.0 million, down 25% year over year •Q1 Operating loss of $(5.9) million, a 37% increase year over year •Q1 Adjusted EBITDA of $(4.3) million, a 28% decline year over year •Company announces securing a $10.0 million financing commitment from Acuitas Capital LLC •Company ann |
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| May 20, 2025 |
EXHIBIT 10.2 THIS SENIOR SECURED NOTE HAS NOT BEEN AND WILL NOT BE REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR WITH ANY SECURITIES REGULATORY AUTHORITY OF ANY STATE OR OTHER JURISDICTION OF THE UNITED STATES. THE HOLDER HEREOF, BY PURCHASING OR OTHERWISE ACQUIRING THIS SECURITY, ACKNOWLEDGES THAT THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE S |
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| May 20, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-31932 |
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| May 16, 2025 |
SEC FILE NUMBER 001-31932 CUSIP NUMBER 683373401 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 2, 2025 |
As confidentially submitted to the Securities and Exchange Commission on May 1, 2025. |
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| April 14, 2025 |
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): April 14, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| April 14, 2025 |
Ontrak Health Announces 2024 Fourth Quarter and Year End Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Health Announces 2024 Fourth Quarter and Year End Financial Results •Q4 revenue of $3.1 million, down 11% year over year; and full year revenue of $10.8 million, down 15% year over year •Q4 operating loss of $(4.4) million, a 16% decrease year over year; full year operating loss of $(17.8) million, a decrease of 16% year over year •Q4 Adjusted |
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| April 14, 2025 |
EXHIBIT 10.8(n) AGREEMENT This agreement is entered into as of April 8, 2025 (this “Agreement”), between Ontrak, Inc., a Delaware corporation (the “Company”), on the one hand, and Acuitas Capital, LLC (“Acuitas Capital”) and Terren S. Peizer (“Peizer” and together with Acuitas Capital and its other affiliates, the “Peizer Parties”), on the other hand. Reference is made to that certain Master Note |
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| April 14, 2025 |
EXHIBIT 19 ONTRAK, INC. INSIDER TRADING POLICY BACKGROUND/PURPOSE In order to: •Take an active role in the prevention of insider trading violations by directors, officers, and other employees of Ontrak, Inc. and its subsidiaries (collectively, “Ontrak” or the “Company”), • as well as by other related individuals, and •protect the Company from appearances of impropriety, external scrutiny, reputati |
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| April 14, 2025 |
EXHIBIT 21.1 ONTRAK, INC. Subsidiaries as of December 31, 2024 Name Jurisdiction of Incorporation LD Acquisition Holdings, Inc. Delaware LifeDojo Inc. Delaware |
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| April 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-319 |
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| April 1, 2025 |
SEC FILE NUMBER 001-31932 CUSIP NUMBER 683373401 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 8, 2025 |
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): January 8, 2025 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| November 14, 2024 |
OTRK / Ontrak, Inc. / ARMISTICE CAPITAL, LLC Passive Investment SC 13G/A 1 armistice-otrk093024a1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 683373401 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| November 13, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 13, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 13, 2024 |
Ontrak Health Announces 2024 Third Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Health Announces 2024 Third Quarter Financial Results •Q3 Revenue of $2.6 million, down 31%% year over year •Q3 Operating loss of $(5.1) million, a 26% increase year over year •Q3 Adjusted EBITDA of $(3.3) million, a 24% decline year over year •Company announces expansion of behavioral health solutions with Sentara Health for Commercial and Ma |
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| November 13, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3 |
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| November 6, 2024 |
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): November 2, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 29, 2024 |
EXPLANATORY NOTE This prospectus forms a part of a registration statement on Form S-1, which registration statement also constitutes Post-Effective Amendment No. |
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| October 25, 2024 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 October 25, 2024 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Nicholas O’Leary Re: Ontrak, Inc. Registration Statement on Form S-1 Filed October 18, 2024 File No. 333-282722 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations un |
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| October 18, 2024 |
As filed with the U.S. Securities and Exchange Commission on October 18, 2024. As filed with the U.S. Securities and Exchange Commission on October 18, 2024. Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of incorporation or organizati |
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| October 18, 2024 |
EXHIBIT 107 Calculation of Filing Fee Tables FORM S-1 (Form Type) ONTRAK, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carryforward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1)(2) Fee Rate Amount of Registration Fee Fees to Be Paid Equity |
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| October 15, 2024 |
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): October 8, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| October 15, 2024 |
EXHIBIT 10.1 WARRANT AMENDMENT THIS WARRANT AMENDMENT (this “Amendment”) is dated as of October 8, 2024, by the party set forth on the signature page hereto (“Purchaser”) and Ontrak, Inc., a Delaware corporation (“Company”). Capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Public Offering Warrants (as defined below). R E C I T A L S A. Pursuant t |
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| October 8, 2024 |
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): October 2, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| October 7, 2024 |
OTRK / Ontrak, Inc. / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 28)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capital LLC Humanitario Capital LLC 200 Dorado |
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| October 3, 2024 |
OTRK / Ontrak, Inc. / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 27)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capital LLC Humanitario Capital LLC 200 Dorado |
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| September 19, 2024 |
EXHIBIT 99.1 Ontrak, Inc. Announces Reverse Stock Split Shares Expected to Begin Trading on Split-Adjusted Basis on September 23, 2024 Ontrak, Inc. (NASDAQ: OTRK), a leading AI-powered and technology-enabled behavioral healthcare company, today announced that it will implement a 1-for-15 reverse split of the issued shares of its common stock, effective at 12:01 a.m. Eastern Time on September 23, 2 |
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| September 19, 2024 |
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): September 17, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 19, 2024 |
EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ONTRAK, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Ontrak, Inc. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follows: FIRST: This Certificate of Amendment (t |
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| September 13, 2024 |
EXHIBIT 99.2 ONTRAK, INC. Stock Option Grant Notice Stock Option Grant under the Company’s Amended and Restated 2017 Stock Incentive Plan 1. Name and Address of Participant1: 2. Date of Option Grant: 3. Type of Grant: 4. Maximum Number of Shares for which this Option is exercisable: 5. Exercise (purchase) price per share: 6. Option Expiration Date: 7. Vesting Schedule: This Option shall become exe |
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| September 13, 2024 |
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): September 10, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 13, 2024 |
EXHIBIT 10.2 ONTRAK, INC. Stock Option Grant Notice Stock Option Grant under the Company’s Amended and Restated 2017 Stock Incentive Plan 1. Name and Address of Participant1: 2. Date of Option Grant: 3. Type of Grant: 4. Maximum Number of Shares for which this Option is exercisable: 5. Exercise (purchase) price per share: 6. Option Expiration Date: 7. Vesting Schedule: This Option shall become exe |
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| September 13, 2024 |
As filed with the Securities and Exchange Commission on September 13, 2024 As filed with the Securities and Exchange Commission on September 13, 2024 Registration Statement No. |
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| September 13, 2024 |
EXHIBIT 10.4 ONTRAK, INC. Stock Option Grant Notice Stock Option Grant under the Company’s Amended and Restated 2017 Stock Incentive Plan 1. Name and Address of Participant: 2. Date of Option Grant (“Grant Date”): 3. Type of Grant: 4. Maximum Number of Shares for which this Option is exercisable: 5. Exercise (purchase) price per share: 6. Option Expiration Date: 7. Vesting Schedule: This Option sh |
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| September 13, 2024 |
Calculation of Filing Fee Table. EXHIBIT 107.1 Calculation of Filing Fee Table Form S-8 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 per s |
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| September 13, 2024 |
EXHIBIT 10.3 ONTRAK, INC. Stock Option Grant Notice Stock Option Grant under the Company’s Amended and Restated 2017 Stock Incentive Plan 1. Name and Address of Participant1: 2. Date of Option Grant: 3. Type of Grant: 4. Maximum Number of Shares for which this Option is exercisable: 5. Exercise (purchase) price per share: 6. Option Expiration Date: 7. Vesting Schedule: This Option shall become exe |
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| September 13, 2024 |
EXHIBIT 10.1 ONTRAK, INC. AMENDED AND RESTATED 2017 STOCK INCENTIVE PLAN (Approved by the Board of Directors on June 11, 2024; approved by the Company’s stockholders on September 10, 2024) 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Ontrak, Inc. Amended and Restated 2017 Stock Incentive Plan, have the following meanings: |
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| September 13, 2024 |
EXHIBIT 99.4 ONTRAK, INC. Stock Option Grant Notice Stock Option Grant under the Company’s Amended and Restated 2017 Stock Incentive Plan 1. Name and Address of Participant: 2. Date of Option Grant (“Grant Date”): 3. Type of Grant: 4. Maximum Number of Shares for which this Option is exercisable: 5. Exercise (purchase) price per share: 6. Option Expiration Date: 7. Vesting Schedule: This Option sh |
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| September 13, 2024 |
Ontrak, Inc, 2017 Amended and Restated Stock Incentive Plan. EXHIBIT 99.1 ONTRAK, INC. AMENDED AND RESTATED 2017 STOCK INCENTIVE PLAN (Approved by the Board of Directors on June 11, 2024; approved by the Company’s stockholders on September 10, 2024) 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Ontrak, Inc. Amended and Restated 2017 Stock Incentive Plan, have the following meanings: |
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| September 13, 2024 |
EXHIBIT 99.3 ONTRAK, INC. Stock Option Grant Notice Stock Option Grant under the Company’s Amended and Restated 2017 Stock Incentive Plan 1. Name and Address of Participant1: 2. Date of Option Grant: 3. Type of Grant: 4. Maximum Number of Shares for which this Option is exercisable: 5. Exercise (purchase) price per share: 6. Option Expiration Date: 7. Vesting Schedule: This Option shall become exe |
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| August 30, 2024 |
OTRK / Ontrak, Inc. / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm2423124d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 26)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capit |
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| August 14, 2024 |
EXHIBIT 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of August 12, 2024 by and between Ontrak, Inc., a Delaware corporation (“Employer” or “Company”), and Richard P. Newman, an individual (“Employee”). RECITALS A. WHEREAS, Employee is currently employed by Employer under the terms of an employment agreement dated February 12, 2024 (“Former Agreement |
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| August 14, 2024 |
EXHIBIT 3.1(b) Amendment to Section 3.5 of the Amended and Restated Bylaws of Ontrak, Inc. (Adopted on August 9, 2024) Underlined text in bold black font below represents additions, and stricken text in bold red font represents deletions, to Section 3.5 of the Amended and Restated Bylaws of Ontrak, Inc. SECTION 3.5 Quorum. Subject to the immediately following sentence, unless the Corporation’s Cer |
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| August 14, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 Commission File Number 001-31932 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 88-0464853 (State or other jurisdiction of incorporation |
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| August 14, 2024 |
EXHIBIT 10.2 August 13, 2024 Acuitas Capital, LLC 200 Dorado Beach Drive #3831 Dorado, Puerto Rico 00646 Attention: Terren S. Peizer Mr. Peizer: This letter relates to that certain Master Note Purchase Agreement, dated as of April 15, 2022, among Ontrak, Inc., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, Acuitas Capital LLC, a Delaware limited liab |
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| August 14, 2024 |
EXHIBIT 3.1(a) AMENDED AND RESTATED BYLAWS OF ONTRAK, INC., A DELAWARE CORPORATION (as amended through August 9, 2024) TABLE OF CONTENTS Page SECTION 1.1 Name 1 SECTION 1.2 Principal Office; Other Offices 1 ARTICLE II STOCKHOLDERS 1 SECTION 2.1 Annual Meeting 1 SECTION 2.2 Special Meeting 1 SECTION 2.3 Place of Stockholder Meetings 1 SECTION 2.4 Notice of Meetings 1 SECTION 2.5 Quorum 2 SECTION 2. |
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| August 8, 2024 |
Ontrak Health Announces Expected 2024 Second Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Health Announces Expected 2024 Second Quarter Financial Results •Q2 Revenue of $2.5 million, down 17%% year over year •Q2 Operating loss of $(4.0) million, a 13% improvement year over year •Q2 Adjusted EBITDA of $(3.3) million, an 8% decline year over year •Company announces new contract with large northeast regional health plan •Company annou |
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| August 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 8, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| July 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| July 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| July 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 25, 2024 |
OTRKP / Ontrak, Inc. - Preferred Stock / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm2418168-1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 25)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capit |
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| June 5, 2024 |
OTRKP / Ontrak, Inc. - Preferred Stock / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm2416476d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 24)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capit |
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| May 21, 2024 |
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): May 17, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 15, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 Commission File Number 001-31932 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 88-0464853 (State or other jurisdiction of incorporation |
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| May 14, 2024 |
Ontrak Health Announces 2024 First Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Health Announces 2024 First Quarter Financial Results •Q1 Revenue of $2.7 million, up 6% year over year •Q1 operating loss of $(4.3) million, a 41% improvement year over year •Q1 adjusted EBITDA of $(3.4) million, a 38% improvement year over year •Company announces state approval of a new customer agreement with a prominent regional Medicaid h |
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| May 14, 2024 |
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): May 14, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 2, 2024 |
EXPLANATORY NOTE This prospectus forms a part of registration statement on Form S-1 (File No. |
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| May 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 29, 2024 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 April 29, 2024 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jessica Ansart Re: Ontrak, Inc. Registration Statement on Form S-1 Filed April 22, 2024 File No. 333-278848 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations under th |
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| April 22, 2024 |
As filed with the U.S. Securities and Exchange Commission on April 19, 2024 As filed with the U.S. Securities and Exchange Commission on April 19, 2024 Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of incorporation or organization) |
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| April 22, 2024 |
As filed with the Securities and Exchange Commission on April 19, 2024 As filed with the Securities and Exchange Commission on April 19, 2024 Registration Statement No. |
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| April 22, 2024 |
Calculation of Filing Fee Table. EXHIBIT 107.1 Calculation of Filing Fee Table Form S-8 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 per s |
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| April 22, 2024 |
EXHIBIT 107 Calculation of Filing Fee Tables FORM S-1 (Form Type) ONTRAK, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1)(2) Fee Rate Amount of Registration Fee Fees to Be Paid Equity Common stock, p |
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| April 16, 2024 |
Policy on Recovery of Erroneously Awarded Compensation, dated November 29, 2023. EXHIBIT 97 ONTRAK, INC. POLICY ON RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION November 29, 2023 1. Overview The Board believes that it is in the best interests of the Company and its stockholders to adopt this Policy to provide for the recovery of certain Incentive-Based Compensation in the event of an Accounting Restatement. This Policy is designed to comply with, and shall be interpreted to be |
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| April 16, 2024 |
EXHIBIT 10.12(a) SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of November 10, 2023, between Ontrak, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions se |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-319 |
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| April 16, 2024 |
EXHIBIT 21.1 ONTRAK, INC. Subsidiaries as of December 31, 2023 Name Jurisdiction of Incorporation LD Acquisition Holdings, Inc. Delaware LifeDojo Inc. Delaware |
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| April 16, 2024 |
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): April 16, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| April 16, 2024 |
Ontrak Announces 2023 Fourth Quarter and Year End Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Announces 2023 Fourth Quarter and Year End Financial Results •Q4 Revenue of $3.5 million, up 41% year over year; and Full Year Revenue of $12.7 million, down 12% year over year •Q4 operating loss of $5.2 million, a 35% improvement year over year; and Full Year operating loss of $21.1 million, a 52% improvement year over year •Company expands i |
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| April 10, 2024 |
OTRK / Ontrak, Inc. / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 23)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capital LLC Humanitario Capital LLC 200 Dorado |
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| April 8, 2024 |
Unregistered Sales of Equity Securities, Other Events 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): April 5, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 2, 2024 |
SEC FILE NUMBER 001-31932 CUSIP NUMBER 683373302 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2024 |
OTRK / Ontrak, Inc. / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm2410295d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 22)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capit |
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| April 1, 2024 |
EX-99.28 2 tm2410295d1ex99-28.htm EXHIBIT 99.28 Exhibit 99.28 SIXTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This SIXTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of March 28, 2024 (the “Sixth Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPIT |
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| April 1, 2024 |
EX-99.29 3 tm2410295d1ex99-29.htm EXHIBIT 99.29 Exhibit 99.29 WAIVER AND AGREEMENT THIS WAIVER AND AGREEMENT (this “Waiver”) is entered into effective as of March 28, 2024, by Humanitario Capital LLC, a Puerto Rico limited liability company (the “Purchaser”), in favor of Ontrak, Inc., a Delaware corporation (“Company”). Capitalized terms not otherwise defined herein shall have the meanings a |
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| March 28, 2024 |
EXHIBIT 10.2 WAIVER AND CONSENT AGREEMENT THIS WAIVER AND CONSENT AGREEMENT (this “Waiver”) is dated as of March 28, 2024, by the party set forth on the signature page hereto (the “Purchaser”) in favor of Ontrak, Inc., a Delaware corporation (“Company”). Capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Public Offering Warrants (as defined below). |
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| March 28, 2024 |
EXHIBIT 10.1 SIXTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This SIXTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of March 28, 2024 (the “Sixth Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (“Purchase |
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| March 28, 2024 |
EXHIBIT 4.2 NEITHER THIS WARRANT, NOR THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT (COLLECTIVELY, THE “SECURITIES”), HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER ANY STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT BE OFFERED, SOLD, PLEDGED, HYPOTHECATED OR OTHERWIS |
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| March 28, 2024 |
EXHIBIT 4.1 NEITHER THIS SENIOR SECURED NOTE NOR THE SHARES ISSUABLE UPON ITS CONVERSION HAVE BEEN OR WILL BE REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”) OR WITH ANY SECURITIES REGULATORY AUTHORITY OF ANY STATE OR OTHER JURISDICTION OF THE UNITED STATES. THE HOLDER HEREOF, BY PURCHASING OR OTHERWISE ACQUIRING THIS SECURITY, ACKNOWLEDGES THAT (1) NEI |
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| March 28, 2024 |
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): March 28, 2024 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| March 28, 2024 |
EXHIBIT 10.3 WAIVER AND AGREEMENT THIS WAIVER AND AGREEMENT (this “Waiver”) is entered into effective as of March 28, 2024, by Humanitario Capital LLC, a Puerto Rico limited liability company (the “Purchaser”), in favor of Ontrak, Inc., a Delaware corporation (“Company”). Capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Private Placement Warrant |
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| February 14, 2024 |
US6833733024 / Ontrak, Inc. / ARMISTICE CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 22, 2023 |
OTRK / Ontrak, Inc. / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm2333438d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 21)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC Acuitas Capit |
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| December 22, 2023 |
EX-99.27 2 tm2333438d1ex99-27.htm EXHIBIT 99.27 Exhibit 99.27 JOINT FILING AGREEMENT In accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to jointly prepare and file a Schedule 13D/A (including any future amendments thereto) reporting each of the undersigned’s ownership of securities of Ontrak, Inc. and further agree |
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| November 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 28, 2023 |
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): November 28, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 20, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 Commission File Number 001-31932 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 88-0464853 (State or other jurisdiction of incorpora |
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| November 15, 2023 |
EXHIBIT 10.4 November 9, 2023 Acuitas Capital, LLC Attention: Terren S. Peizer 200 Dorado Beach Drive #3831 Dorado, Puerto Rico 00646 Mr. Peizer: This letter relates to that certain Master Note Purchase Agreement dated as of April 15, 2022, among Ontrak, Inc., a Delaware corporation, as issuer, certain of its Subsidiaries, as Guarantors, Acuitas Capital LLC, a Delaware limited liability company, a |
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| November 15, 2023 |
Pre-Funded Common Stock Purchase Warrant issued to Humanitario Capital LLC on November 14, 2023 EX-99.25 3 tm2330772d1ex99-25.htm EXHIBIT 99.25 Exhibit 99.25 NEITHER THIS WARRANT, NOR THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT (COLLECTIVELY, THE “SECURITIES”), HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER ANY STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT B |
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| November 15, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm2330772d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 20)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 200 Dorado Be |
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| November 15, 2023 |
EXHIBIT 4.3 NEITHER THIS WARRANT, NOR THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT (COLLECTIVELY, THE “SECURITIES”), HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER ANY STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT BE OFFERED, SOLD, PLEDGED, HYPOTHECATED OR OTHERWIS |
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| November 15, 2023 |
EXHIBIT 4.2 COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: THIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date that the Stockholder Approval is obtained and deemed effective (t |
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| November 15, 2023 |
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): November 9, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numb |
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| November 15, 2023 |
Common Stock Purchase Warrant issued to Humanitario Capital LLC on November 14, 2023“ EX-99.26 4 tm2330772d1ex99-26.htm EXHIBIT 99.26 Exhibit 99.26 NEITHER THIS WARRANT, NOR THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT (COLLECTIVELY, THE “SECURITIES”), HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER ANY STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT B |
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| November 15, 2023 |
EXHIBIT 4.1 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: Issuance Date: , 2023 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date that the Stockholder |
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| November 15, 2023 |
SEC FILE NUMBER 001-31932 CUSIP NUMBER 683373302 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 15, 2023 |
EXHIBIT 4.4 NEITHER THIS WARRANT, NOR THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT (COLLECTIVELY, THE “SECURITIES”), HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER ANY STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT BE OFFERED, SOLD, PLEDGED, HYPOTHECATED OR OTHERWIS |
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| November 15, 2023 |
Letter Agreement, dated November 9, 2023, between Ontrak, Inc. and Acuitas Capital LLC EX-99.24 2 tm2330772d1ex99-24.htm EXHIBIT 99.24 Exhibit 99.24 November 9, 2023 Acuitas Capital LLC Attention: Terren S. Peizer 200 Dorado Beach Drive #3831 Dorado, Puerto Rico 00646 Mr. Peizer: This letter relates to that certain Master Note Purchase Agreement dated as of April 15, 2022, among Ontrak, Inc., a Delaware corporation, as issuer, certain of its Subsidiaries, as Guarantors, Acuitas Capi |
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| November 14, 2023 |
Ontrak Announces 2023 Third Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Announces 2023 Third Quarter Financial Results •Q3 Revenue of $3.7 million, up 31% year over year •Operating loss of $4.1 million, a 63% improvement year over year •Company raises approximately $5.5 million, net in public offering of shares of Company's common stock and pre-funded warrants, completes $11.0 million concurrent private placement |
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| November 14, 2023 |
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): November 14, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 13, 2023 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-273029 4,592,068 Shares of Common Stock 5,907,932 Pre-Funded Warrants to Purchase up to 5,907,932 Shares of Common Stock 21,000,000 Warrants to Purchase up to 21,000,000 Shares of Common Stock Up to 26,907,932 Shares of Common Stock Underlying the Pre-Funded Warrants and Warrants Ontrak, Inc. We are offering 4,592,068 shares of our common stock |
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| November 8, 2023 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 November 8, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Jane Park Re: Ontrak, Inc. Registration Statement on Form S-1 Filed June 29, 2023 File No. 333-273029 Ladies and Gentlemen: Reference is made to our letter, filed as correspondence vi |
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| November 8, 2023 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 November 8, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Jane Park Re: Ontrak, Inc. Registration Statement on Form S-1 Filed June 29, 2023 File No. 333-273029 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations u |
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| November 6, 2023 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 November 6, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Jane Park Re: Ontrak, Inc. Registration Statement on Form S-1 Filed June 29, 2023 File No. 333-273029 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations u |
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| November 6, 2023 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 November 6, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Jane Park Re: Ontrak, Inc. Registration Statement on Form S-1 Filed June 29, 2023 File No. 333-273029 Ladies and Gentlemen: Reference is made to our letter, filed as correspondence vi |
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| November 2, 2023 |
EXHIBIT 10.2 SUPPORT AGREEMENT This Support Agreement (this “Agreement”), dated as of October 31, 2023, by and among Ontrak, Inc., a Delaware corporation (the “Company”), and the stockholders listed on the signature page hereto under the heading “Stockholders” (“Stockholders”). WHEREAS, the Company and Acuitas Capital LLC (“Purchaser”) entered into that certain Fifth Amendment to Master Note Purch |
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| November 2, 2023 |
EXHIBIT 10.1 FIFTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This FIFTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of October 31, 2023 (the “Fifth Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (“Purcha |
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| November 2, 2023 |
EXHIBIT 10.1 FIFTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This FIFTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of October 31, 2023 (the “Fifth Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (“Purcha |
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| November 2, 2023 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 November 2, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Jane Park Re: Ontrak, Inc. Registration Statement on Form S-1 Filed June 29, 2023 File No. 333-273029 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations u |
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| November 2, 2023 |
EXHIBIT 4.3 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: Issuance Date: , 2023 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date that the Stockholder |
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| November 2, 2023 |
EX-99.3 3 tm2329648d1ex99-3.htm EXHIBIT 99.3 Exhibit 99.3 SUPPORT Agreement This Support Agreement (this “Agreement”), dated as of October 31, 2023, by and among Ontrak, Inc., a Delaware corporation (the “Company”), and the stockholders listed on the signature page hereto under the heading “Stockholders” (“Stockholders”). whereas, the Company and Acuitas Capital LLC (“Purchaser”) entered into that |
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| November 2, 2023 |
Form of Securities Purchase Agreement. EXHIBIT 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [], 2023, between Ontrak, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set forth in th |
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| November 2, 2023 |
EXHIBIT 10.2 SUPPORT AGREEMENT This Support Agreement (this “Agreement”), dated as of October 31, 2023, by and among Ontrak, Inc., a Delaware corporation (the “Company”), and the stockholders listed on the signature page hereto under the heading “Stockholders” (“Stockholders”). WHEREAS, the Company and Acuitas Capital LLC (“Purchaser”) entered into that certain Fifth Amendment to Master Note Purch |
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| November 2, 2023 |
EX-99.2 2 tm2329648d1ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Execution Version FIFTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This FIFTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of October 31, 2023 (the “Fifth Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACU |
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| November 2, 2023 |
As filed with the U.S. Securities and Exchange Commission on November 1, 2023 As filed with the U.S. Securities and Exchange Commission on November 1, 2023 Registration Statement No. 333-273029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 5 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of inc |
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| November 2, 2023 |
EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price(1)(2) Fee Rate Amount of Registration Fee Fees to Be Paid Equity Common stock, $0 |
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| November 2, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm2329648d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 19)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 200 Dorado Be |
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| November 2, 2023 |
EXHIBIT 4.2 COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: CUSIP: 683373 112 ISIN: US6833731127 THIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date that the Stockholder Approva |
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| November 2, 2023 |
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): October 31, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 16, 2023 |
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): October 10, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 16, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): October 13, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 10, 2023 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 October 10, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Jane Park Re: Ontrak, Inc. Registration Statement on Form S-1 Filed June 29, 2023 File No. 333-273029 Ladies and Gentlemen: Reference is made to our letter, filed as correspondence vi |
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| October 6, 2023 |
Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 Ontrak, Inc. 333 S. E. 2nd Avenue, Suite 2000 Miami, FL 33131 (310) 444-4300 October 6, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Jane Park Re: Ontrak, Inc. Registration Statement on Form S-1 Filed June 29, 2023 File No. 333-273029 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations un |
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| October 5, 2023 |
As filed with the U.S. Securities and Exchange Commission on October 5, 2023 As filed with the U.S. Securities and Exchange Commission on October 5, 2023 Registration Statement No. 333-273029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 4 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of inco |
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| October 2, 2023 |
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): September 11, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 29, 2023 |
Form of Securities Purchase Agreement. EXHIBIT 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [], 2023, between Ontrak, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set forth in th |
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| September 29, 2023 |
As filed with the U.S. Securities and Exchange Commission on September 29, 2023 As filed with the U.S. Securities and Exchange Commission on September 29, 2023 Registration Statement No. 333-273029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 3 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of i |
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| September 29, 2023 |
Form of Warrant Agency Agreement. EXHIBIT 4.1 ONTRAK, INC. and EQUINITI TRUST COMPANY, LLC, as Warrant Agent Warrant Agency Agreement Dated as of , 2023 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of , 2023 (“Agreement”), by and between Ontrak, Inc., a Delaware corporation (the “Company”), and Equiniti Trust Company, LLC, a New York limited liability trust company (the “Warrant Agent”). W I T N E S S E T H WHEREAS, |
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| September 29, 2023 |
Form of Placement Agency Agreement. EXHIBIT 10.2 PLACEMENT AGENCY AGREEMENT [], 2023 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Ontrak, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $[] of securities of the Company, including, but not limited to, (i) |
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| September 29, 2023 |
Form of Retention Bonus Agreement. EXHIBIT 10.26 RETENTION BONUS AGREEMENT BETWEEN ONTRAK, INC. AND [] You, [], are employed by Ontrak, Inc. (“Ontrak”). Ontrak, and all of its operating divisions, subsidiaries and affiliates, predecessors, successors, joint venture partners and insurers, shall be referenced collectively herein as “Ontrak”; and Ontrak has determined that you are an essential member of its team and wishes to provide |
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| September 29, 2023 |
EXHIBIT 4.2 COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: Initial Exercise Date: , 2023 CUSIP: 683373 112 ISIN: US6833731127 THIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the dat |
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| September 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐Definitive Proxy Statement |
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| September 7, 2023 |
Exhibit 99.1 News Release For Immediate Release Ontrak Health's Study of Behavioral Health Patient Reported Outcomes Reveals 53-60% Reduction in Anxiety and Depressive Symptoms Continuous PHQ-9 and GAD-7 assessments confirm initial Patient Reported Outcome Measures (PROMs) findings that contribute to improved health outcomes for Ontrak Health members. Henderson, Nevada, September 7,2023 - Ontrak H |
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| September 7, 2023 |
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): September 7, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐Definitive Proxy Statement |
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| August 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy Statement Defin |
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| August 28, 2023 |
EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price(1)(2) Fee Rate Amount of Registration Fee Fees to Be Paid Equity Common stock, $0 |
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| August 28, 2023 |
Form of Placement Agency Agreement EXHIBIT 10.2 PLACEMENT AGENCY AGREEMENT [], 2023 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Ontrak, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $[] of securities of the Company, including, but not limited to, (i) |
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| August 28, 2023 |
EXHIBIT 4.2 COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: Initial Exercise Date: , 2023 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) |
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| August 28, 2023 |
EXHIBIT 10.25 SEPARATION AGREEMENT AND RELEASE This Separation Agreement and Release (the “Agreement”), is made by and between Jonathan Mayhew on behalf of himself, his agents, heirs, executors, administrators, attorneys and successors (collectively, “Mr. Mayhew”), and Ontrak, Inc. and any entity related to it in the present or past including, without limitation, its predecessors, successors, pare |
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| August 28, 2023 |
EXHIBIT 4.3 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ONTRAK, INC. Warrant Shares: Initial Exercise Date: , 2023 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “I |
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| August 28, 2023 |
Form of Securities Purchase Agreement EXHIBIT 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [], 2023, between Ontrak, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set forth in th |
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| August 28, 2023 |
Form of Warrant Agency Agreement EXHIBIT 4.1 ONTRAK, INC. and EQUINITI TRUST COMPANY, as Warrant Agent Warrant Agency Agreement Dated as of , 2023 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of , 2023 (“Agreement”), by and between Ontrak, Inc., a Delaware corporation (the “Company”), and Equiniti Trust Company, a [limited liability company/corporation] (the “Warrant Agent”). W I T N E S S E T H WHEREAS, pursuant t |
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| August 28, 2023 |
As filed with the U.S. Securities and Exchange Commission on August 28, 2023 As filed with the U.S. Securities and Exchange Commission on August 28, 2023 Registration Statement No. 333-273029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 2 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of inco |
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| August 28, 2023 |
Employment Agreement dated July 26, 2022 by and between Ontrak, Inc. and Mary Louise Osborne. EXHIBIT 10.23 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of July 26, 2022 by and between Ontrak, Inc., a Delaware corporation (“Employer” or “Company”), and Mary Louise Osborne, an individual (“Employee”). RECITALS A. WHEREAS, Employee is currently employed by Employer under the terms of an employment agreement dated August 30, 2021 (“Former Agreement” |
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| August 28, 2023 |
Retention Bonus Agreement dated April 20, 2022 by and between Ontrak, Inc. and Jonathan Mayhew. EXHIBIT 10.24 RETENTION BONUS AGREEMENT BETWEEN ONTRAK, INC. AND JOHNATHAN MAYHEW You, Jonathan Mayhew, are employed by Ontrak, Inc. (“Ontrak”). Ontrak, and all of its operating divisions, subsidiaries and affiliates, predecessors, successors, joint venture partners and insurers, shall be referenced collectively herein as “Ontrak”; and Ontrak has determined that you are an essential member of its |
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| August 15, 2023 |
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): August 11, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 11, 2023 |
As filed with the U.S. Securities and Exchange Commission on August 11, 2023 As filed with the U.S. Securities and Exchange Commission on August 11, 2023 Registration Statement No. 333-273029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of inco |
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| August 10, 2023 |
EXHIBIT 10.2 August 7, 2023 Ontrak, Inc. 2200 Paseo Verde Parkway, Suite 280 Henderson, NV 89052 Attention: Brandon LaVerne Email: [email protected] RE: Waiver of Certain Conditions; Extension of Lock-Up Period Ladies and Gentlemen: Reference is made to that certain Master Note Purchase Agreement dated as of April 15, 2022, as amended by that certain First Amendment to Master Note Purchase |
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| August 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 Commission File Number 001-31932 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 88-0464853 (State or other jurisdiction of incorporation |
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| August 9, 2023 |
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): August 9, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 9, 2023 |
Ontrak Announces 2023 Second Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Announces 2023 Second Quarter Financial Results •Q2 Revenue of $3.0 million and Year to Date Revenue of $5.5 million •Company announces signing of new customer agreement with a regional Medicaid health plan •Company completes reverse stock split of its common stock at a ratio of 1:6 •Company announces achievement of certification as a Credenti |
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| August 4, 2023 |
EXHIBIT 3.2 AMENDED AND RESTATED BYLAWS OF ONTRAK, INC., A DELAWARE CORPORATION (as amended through August 4, 2023) TABLE OF CONTENTS Page ARTICLE I IDENTIFICATION; OFFICES 1 SECTION 1.1 Name 1 SECTION 1.2 Principal Office; Other Offices 1 ARTICLE II STOCKHOLDERS 1 SECTION 2.1 Annual Meeting 1 SECTION 2.2 Special Meeting 1 SECTION 2.3 Place of Stockholder Meetings 1 SECTION 2.4 Notice of Meetings |
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| August 4, 2023 |
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): August 4, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 4, 2023 |
EXHIBIT 3.1 AMENDED AND RESTATED BYLAWS OF ONTRAK, INC., A DELAWARE CORPORATION (as amended through August 4, 2023) TABLE OF CONTENTS Page Article I IDENTIFICATION; OFFICES 1 SECTION 1.1 Name 1 SECTION 1.2 Principal Office; Other Offices 1 Article II STOCKHOLDERS 1 SECTION 2.1 Annual Meeting 1 SECTION 2.2 Special Meeting 1 SECTION 2.3 Place of Stockholder Meetings 1 SECTION 2.4 Notice of Meetings |
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| July 27, 2023 |
EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ONTRAK, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Ontrak, Inc. (the “Corporation”), a corporation existing under the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follows: FIRST: This Certificate of Amendment (this “Certifica |
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| July 27, 2023 |
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): July 27, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 27, 2023 |
ONTRAK, INC. ANNOUNCES 1-FOR-6 REVERSE SPLIT EXHIBIT 99.1 ONTRAK, INC. ANNOUNCES 1-FOR-6 REVERSE SPLIT Henderson, NV - Ontrak, Inc. (NASDAQ: OTRK), a leading AI-powered and telehealth-enabled healthcare company, announced today that a 1-for-6 reverse split of its outstanding shares of common stock became effective at 6:00 p.m. Eastern Time on July 27, 2023. The company’s common stock is expected to trade on the Nasdaq Capital Market on a pos |
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| June 29, 2023 |
As filed with the U.S. Securities and Exchange Commission on June 29, 2023 As filed with the U.S. Securities and Exchange Commission on June 29, 2023 Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ONTRAK, INC. (Exact name of registrant as specified in its charter) Delaware 8090 88-0464853 (State or other jurisdiction of incorporation or organization) |
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| June 29, 2023 |
EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price(1)(2) Fee Rate Amount of Registration Fee Fees to Be Paid Equity Common stock, $0 |
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| June 27, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): June 23, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 27, 2023 |
EX-99.21 2 tm2319443d1ex99-21.htm EXHIBIT 99.21 Exhibit 99.21 Execution Version FOURTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This FOURTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of June 23, 2023 (the “Fourth Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and |
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| June 27, 2023 |
EXHIBIT 10.1 FOURTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This FOURTH AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of June 23, 2023 (the “Fourth Amendment Effective Date”), by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (“Purcha |
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| June 27, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 200 Dorado Beach Drive #3831 Dorado, Puerto Rico 00646 |
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| May 12, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 Commission File Number 001-31932 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 88-0464853 (State or other jurisdiction of incorporation |
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| May 10, 2023 |
Ontrak Announces 2023 First Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Announces 2023 First Quarter Financial Results Henderson, NV – May 10, 2023 – Ontrak, Inc. (NASDAQ: OTRK) (“Ontrak” or the “Company”), a leading AI-powered and telehealth-enabled healthcare company, today reported its financial results for the first quarter ended March 31, 2023. Management Commentary "We continue to be encouraged by market fee |
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| May 10, 2023 |
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): May 10, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 17, 2023 |
EXHIBIT 10.13 FIRST AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This FIRST AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of August 12, 2022, by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, ACUITAS CAPITAL LLC, a Delaware limited liability company (the “Purchaser”) and U.S. BANK TRUST COMPANY, NATI |
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| April 17, 2023 |
EXHIBIT 10.5 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of July 26, 2022 by and between Ontrak, Inc., a Delaware corporation (“Employer” or “Company”), and Brandon LaVerne, an individual (“Employee”). RECITALS A. WHEREAS, Employee is currently employed by Employer under the terms of an employment agreement dated March 16, 2020 (“Former Agreement”) and |
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| April 17, 2023 |
EXHIBIT 10.17 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of July 26, 2022 by and between Ontrak, Inc., a Delaware corporation (“Employer” or “Company”), and James J. Park, an individual (“Employee”). RECITALS A. WHEREAS, Employee is currently employed by Employer under the terms of an offer letter agreement dated August 16, 2019 as amended on January 1 |
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| April 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-319 |
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| April 17, 2023 |
EXHIBIT 21.1 ONTRAK, INC. Subsidiaries as of December 31, 2022 Name Jurisdiction of Incorporation LD Acquisition Holdings, Inc. Delaware LifeDojo Inc. Delaware |
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| April 17, 2023 |
EXHIBIT 10.18 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of July 26, 2022 by and between Ontrak, Inc., a Delaware corporation (“Employer” or “Company”), and Judith Feld an individual (“Employee”). RECITALS A. WHEREAS, Employee is currently employed by Employer under the terms of an offer letter agreement dated June 1, 2020 (“Former Agreement”) and such |
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| March 31, 2023 |
SEC FILE NUMBER 001-31932 CUSIP NUMBER 683373104 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 15, 2023 |
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): March 9, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| March 15, 2023 |
Ontrak Announces 2022 Fourth Quarter and Year End Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Announces 2022 Fourth Quarter and Year End Financial Results •Q4 Revenue of $2.5 million and Full Year Revenue of $14.5 million •Company announces signing of new amendment with Optima Health to impact highest acuity members •Company announces partnership with Lyssn, AI-based platform to strengthen coaching outcomes •Company to Host Conference |
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| March 14, 2023 |
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): March 13, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number |
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| March 8, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 200 Dorado Beach Drive #3831 Dorado, Puerto Rico 00646 |
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| March 7, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 tm238745d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 200 Dorado Bea |
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| March 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 3, 2023 |
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): March 2, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Number) |
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| February 23, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 200 Dorado Beach Drive #3831 Dorado, Puerto Rico 00646 |
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| February 22, 2023 |
EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ONTRAK, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Ontrak, Inc. (the “Corporation”), a corporation existing under the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follows: 1. This Certificate of Amendment (this “Certificate o |
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| February 22, 2023 |
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): February 20, 2023 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 22, 2023 |
EXHIBIT 10.1 STOCKHOLDERS AGREEMENT THIS STOCKHOLDERS AGREEMENT (this “Agreement”) is made and entered into as of February 21, 2023, by and between ONTRAK, INC., a Delaware corporation (the “Company”), and ACUITAS CAPITAL LLC, a Delaware limited liability company (the “Stockholder”). Except as otherwise provided herein, capitalized terms used herein are defined in Section 4 hereof. Recitals A.The |
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| January 20, 2023 |
Calculation of Filing Fee Table. EXHIBIT 107.1 Calculation of Filing Fee Table Form S-8 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 per s |
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| January 20, 2023 |
As filed with the Securities and Exchange Commission on January 20, 2023 As filed with the Securities and Exchange Commission on January 20, 2023 Registration Statement No. |
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| January 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| January 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 6, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 2001 Wilshire Boulevard, Suite 330 Santa Monica, Califo |
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| January 4, 2023 |
Ontrak, Inc. Purchase Warrant for Common Shares [·], 202_ Exhibit 99.20 Execution Version Appendix B Ontrak, Inc. Purchase Warrant for Common Shares [?], 202 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND MAY NOT BE PLEDGED, SOLD, OFFERED FOR SALE, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF REGISTRATION UNDER OR EXEMPTION F |
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| January 4, 2023 |
FORM OF SENIOR SECURED CONVERTIBLE NOTE Exhibit 99.19 Execution Version FORM OF SENIOR SECURED CONVERTIBLE NOTE NEITHER THIS SENIOR SECURED NOTE NOR THE SHARES ISSUABLE UPON ITS CONVERSION HAVE BEEN OR WILL BE REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?) OR WITH ANY SECURITIES REGULATORY AUTHORITY OF ANY STATE OR OTHER JURISDICTION OF THE UNITED STATES. THE HOLDER HEREOF, BY PURCHASING OR |
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| January 4, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 30, 2022 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Num |
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| January 4, 2023 |
EX-10.1 4 exh101ontrak-thirdamendme.htm EX-10.1 EXHIBIT 10.1 THIRD AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This THIRD AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of December 30, 2022, by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability compan |
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| January 4, 2023 |
THIRD AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT Exhibit 99.18 Execution Version THIRD AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This THIRD AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this ?Amendment?) is made as of December 30, 2022, by and among ONTRAK, INC., a Delaware corporation (the ?Company?), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (?Purchaser?), and U.S. BAN |
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| January 4, 2023 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 2001 Wilshire Boulevard, Suite 330 Santa Monica, Califo |
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| January 4, 2023 |
EX-4.2 3 exh42-formofpurchasewarra.htm EX-4.2 EXHIBIT 4.2 Appendix B Ontrak, Inc. Purchase Warrant for Common Shares [•], 202 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND MAY NOT BE PLEDGED, SOLD, OFFERED FOR SALE, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF REGISTR |
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| January 4, 2023 |
EX-4.1 2 exh41-amendedformofsenior.htm EX-4.1 EXHIBIT 4.1 FORM OF SENIOR SECURED CONVERTIBLE NOTE NEITHER THIS SENIOR SECURED NOTE NOR THE SHARES ISSUABLE UPON ITS CONVERSION HAVE BEEN OR WILL BE REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”) OR WITH ANY SECURITIES REGULATORY AUTHORITY OF ANY STATE OR OTHER JURISDICTION OF THE UNITED STATES. THE HOLDER |
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| December 21, 2022 |
Calculation of Filing Fee Table. EX-FILING FEES 2 a202212forms-8401kex1071.htm EX-FILING FEES EXHIBIT 107.1 Calculation of Filing Fee Table Form S-8 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee Rate Amount of |
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| December 21, 2022 |
As filed with the Securities and Exchange Commission on December 21, 2022 As filed with the Securities and Exchange Commission on December 21, 2022 Registration Statement No. |
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| November 22, 2022 |
SECOND AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT Exhibit 99.16 Execution Version SECOND AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This SECOND AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this ?Amendment?) is made as of November 19, 2022, by and among ONTRAK, INC., a Delaware corporation (the ?Company?), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (?Purchaser?), and U.S. B |
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| November 22, 2022 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 2001 Wilshire Boulevard, Suite 330 Santa Monica, Califo |
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| November 22, 2022 |
FORM OF SENIOR SECURED CONVERTIBLE NOTE EXHIBIT 99.17 FORM OF SENIOR SECURED CONVERTIBLE NOTE NEITHER THIS SENIOR SECURED NOTE NOR THE SHARES ISSUABLE UPON ITS CONVERSION HAVE BEEN OR WILL BE REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?) OR WITH ANY SECURITIES REGULATORY AUTHORITY OF ANY STATE OR OTHER JURISDICTION OF THE UNITED STATES. THE HOLDER HEREOF, BY PURCHASING OR OTHERWISE ACQUIRIN |
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| November 21, 2022 |
EXHIBIT 4.1 FORM OF SENIOR SECURED CONVERTIBLE NOTE NEITHER THIS SENIOR SECURED NOTE NOR THE SHARES ISSUABLE UPON ITS CONVERSION HAVE BEEN OR WILL BE REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”) OR WITH ANY SECURITIES REGULATORY AUTHORITY OF ANY STATE OR OTHER JURISDICTION OF THE UNITED STATES. THE HOLDER HEREOF, BY PURCHASING OR OTHERWISE ACQUIRING |
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| November 21, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 Commission File Number 001-31932 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 88-0464853 (State or other jurisdiction of incorpora |
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| November 21, 2022 |
EXHIBIT 10.5 SECOND AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT This SECOND AMENDMENT TO MASTER NOTE PURCHASE AGREEMENT (this “Amendment”) is made as of November 19, 2022, by and among ONTRAK, INC., a Delaware corporation (the “Company”), as issuer, certain of its Subsidiaries, as Guarantors, and ACUITAS CAPITAL LLC, a Delaware limited liability company (“Purchaser”), and U.S. BANK TRUST COMPANY, |
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| November 21, 2022 |
EXHIBIT 4.2 Ontrak, Inc. Purchase Warrant for Common Shares [•], 202 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND MAY NOT BE PLEDGED, SOLD, OFFERED FOR SALE, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF REGISTRATION UNDER OR EXEMPTION FROM SUCH ACT AND ALL APPLICABLE |
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| November 15, 2022 |
SEC FILE NUMBER 001-31932 CUSIP NUMBER 683373104 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 9, 2022 |
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): November 9, 2022 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numb |
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| November 9, 2022 |
Ontrak Announces 2022 Third Quarter Financial Results Exhibit 99.1 News Release For Immediate Release Ontrak Announces 2022 Third Quarter Financial Results •Q3 Revenue of $2.8 million •Company pays off in full its $7.5 million outstanding GS loan balance; draws down a total of $11 million to date on the Keep Well Agreement •Company raises $3.3 million, net, in a registered direct offering of shares of Company's common stock with institutional investo |
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| September 16, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): September 14, 2022 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 9, 2022 |
EXHIBIT 10.1 August 26, 2022 Ontrak, Inc. 2200 Paseo Verde Parkway, Suite 280 Henderson, NV 89052 Attention: James Park Email: [email protected] RE: Waiver of Certain Conditions Reference is made to that certain Master Note Purchase Agreement dated as of April 15, 2022 (as amended, restated, amended and restated, supplemented or otherwise modified from time to time, the ?Note Purchase Agreeme |
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| September 9, 2022 |
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): September 7, 2022 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 8, 2022 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 2001 Wilshire Boulevard, Suite 330 Santa Monica, Califo |
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| September 7, 2022 |
Calculation of Filing Fee Table. EXHIBIT 107.1 Calculation of Filing Fee Table Form S-8 (Form Type) Ontrak, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 per s |
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| September 7, 2022 |
As filed with the Securities and Exchange Commission on September 7, 2022 As filed with the Securities and Exchange Commission on September 7, 2022 Registration Statement No. |
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| September 2, 2022 |
OTRK / Ontrak Inc / Acuitas Group Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* Ontrak, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 44919F 104 (CUSIP Number of Class of Securities) Terren S. Peizer Acuitas Group Holdings, LLC 2001 Wilshire Boulevard, Suite 330 Santa Monica, Califo |
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| August 31, 2022 |
Submission of Matters to a Vote of Security Holders 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): August 29, 2022 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 26, 2022 |
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): August 25, 2022 Ontrak, Inc. (Exact name of registrant as specified in its charter) Delaware 001-31932 88-0464853 (State or other jurisdiction of incorporation) (Commission File Numbe |
