Ontrak, Inc. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2021-11-12: Federal exemption Rule 506(b); Types of securities offered Equity; SecurityToBeAcquired; Common stock, including rights granted to receive Stock Consideration in the merger; Date of first sale 2020-10-28; Total offering amount $6,436,495.
- 2020-11-12: Federal exemption Rule 506(b); Types of securities offered Equity; SecurityToBeAcquired; Common stock, including rights granted to receive Stock Consideration in the merger; Date of first sale 2020-10-28; Total offering amount $4,636,261.
- 2017-01-05: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2016-12-21; Total offering amount $5,562,796.
- 2015-10-15: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2015-07-30; Total offering amount $3,553,030.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2021-11-12 D/A | Rule 506(b) | Equity; SecurityToBeAcquired; Common stock, including rights granted to receive Stock Consideration in the merger | 2020-10-28 | $6,436,495 | $6,079,118 | $357,377 | 21 |
| 2020-11-12 | Rule 506(b) | Equity; SecurityToBeAcquired; Common stock, including rights granted to receive Stock Consideration in the merger | 2020-10-28 | $4,636,261 | $4,636,261 | $0 | 18 |
| 2017-01-05 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2016-12-21 | $5,562,796 | $5,562,796 | $0 | 4 |
| 2015-10-15 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2015-07-30 | $3,553,030 | $3,553,030 | $0 | 1 |
| 2015-04-30 | Rule 506(c) | Debt; OptionToAcquire; SecurityToBeAcquired | 2015-04-16 | $2,121,212 | $2,121,212 | $0 | 4 |
| 2014-06-13 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2014-05-27 | $1,500,000 | $1,500,000 | $0 | 9 |
| 2014-02-12 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2014-01-31 | $1,000,000 | $1,000,000 | $0 | 7 |
| 2013-10-24 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2013-10-02 | $2,639,000 | $2,639,000 | $0 | 7 |
| 2013-04-24 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired | 2013-04-10 | $1,535,000 | $1,535,000 | $0 | 6 |
| 2012-12-19 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired | 2012-12-04 | $3,298,500 | $3,298,500 | $0 | 11 |
| 2012-09-25 | Rule 506 | Equity; OptionToAcquire | 2012-09-13 | $1,719,000 | $1,719,000 | $0 | 5 |
| 2012-04-25 D/A | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2012-02-22 | $975,000 | $975,000 | $0 | 1 |
| 2012-04-25 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired | 2012-04-17 | $3,430,408 | $3,430,408 | $0 | 6 |
| 2012-03-26 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired | 2012-02-08 | $75,000 | $75,000 | $0 | 1 |
| 2012-03-23 | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2012-02-22 | $775,000 | $775,000 | $0 | 1 |
| 2011-10-20 | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2011-10-05 | $680,000 | $680,000 | $0 | 1 |
| 2011-08-26 | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2011-08-17 | $650,000 | $650,000 | $0 | 1 |
| 2010-11-29 | Rule 506 | Equity; Debt; OptionToAcquire; SecurityToBeAcquired | 2010-11-12 | $6,948,268 | $6,948,268 | $0 | 22 |
| 2010-11-02 | Rule 506 | Debt; OptionToAcquire | 2010-10-19 | $500,000 | $500,000 | $0 | 2 |