Ontrak, Inc. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 47 rows, 47 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2025-06-18: Reporting owner Acuitas Group Holdings, LLC | PEIZER TERREN S; Form 4; Security Senior Secured Convertible Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2025-05-27: Reporting owner Acuitas Group Holdings, LLC | PEIZER TERREN S; Form 4; Security Senior Secured Convertible Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2025-05-09: Reporting owner Acuitas Group Holdings, LLC | PEIZER TERREN S; Form 4; Security Senior Secured Convertible Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2025-03-28: Reporting owner Acuitas Group Holdings, LLC | PEIZER TERREN S; Form 4; Security Senior Secured Convertible Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2025-06-18 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +359,712 359,712 owned after | no price filed | 2025-06-23 | |
| 2025-05-27 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +1,635,220 1,635,220 owned after | no price filed | 2025-05-29 | |
| 2025-05-09 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +609,756 609,756 owned after | no price filed | 2025-05-20 | |
| 2025-03-28 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +2,027,027 2,027,027 owned after | no price filed | 2025-04-01 | |
| 2024-10-03 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +881,057 881,057 owned after | no price filed | 2024-10-07 | |
| 2024-09-30 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +760,456 760,456 owned after | no price filed | 2024-10-03 | |
| 2024-08-28 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +13,233,348 13,233,348 owned after | no price filed | 2024-08-30 | |
| 2024-06-05 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +11,538,462 11,538,462 owned after | no price filed | 2024-06-05 | |
| 2024-06-02 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +8,715,863 8,715,863 owned after | no price filed | 2024-06-05 | |
| 2024-06-02 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Promissory Note Derivative · Indirect · By Acuitas Capital | P Open market or private purchase of non-derivative or derivative security | +11,278,196 11,278,196 owned after | no price filed | 2024-06-05 | |
| 2024-06-02 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital | H Expiration (or cancellation) of long derivative position with value received | $0.60 exercise price | 2024-06-05 | ||
| 2024-06-02 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital | J Other acquisition or disposition (describe transaction) | $0.12 exercise price | 2024-06-05 | ||
| 2023-12-20 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital | H Expiration (or cancellation) of long derivative position with value received | 0 owned after | $0.90 exercise price | 2023-12-22 | |
| 2023-12-20 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital | J Other acquisition or disposition (describe transaction) | $0.60 exercise price | 2023-12-22 | ||
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | C Conversion of derivative security | −18,054,791 18,054,791 owned after | $0.90 exercise price | 2023-11-15 | |
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | C Conversion of derivative security | −18,333,333 18,333,333 owned after | $0.90 exercise price | 2023-11-15 | |
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | C Conversion of derivative security | −36,666,666 36,666,666 owned after | $0.90 exercise price | 2023-11-15 | |
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | C Conversion of derivative security | $0.90 exercise price | 2023-11-15 | ||
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | S Open market or private sale of non-derivative or derivative security | $0.90 exercise price | 2023-11-15 | ||
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | S Open market or private sale of non-derivative or derivative security | $0.90 exercise price | 2023-11-15 | ||
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | S Open market or private sale of non-derivative or derivative security | $0.90 exercise price | 2023-11-15 | ||
| 2023-11-14 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas Capital LLC | P Open market or private purchase of non-derivative or derivative security | $0.90 exercise price | 2023-11-15 | ||
| 2023-03-06 | PEIZER TERREN S | Acuitas Group Holdings, LLC 10% Owner | 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas | P Open market or private purchase of non-derivative or derivative security | +10,000,000 10,000,000 owned after | $0.40 exercise price | 2023-03-08 | |
| 2023-02-21 | Acuitas Group Holdings, LLC | PEIZER TERREN S 10% Owner | Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Senior Secured Convertible Note Derivative · Indirect · By Acuitas | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500,000 37,500,000 owned after | $0.40 exercise price | 2023-02-23 | |
| 2017-03-31 | Smith David E Director, 10% Owner | 4 | Convertible Debenture Derivative · Indirect · Through Shamus, LLC | C Conversion of derivative security | 0 owned after | $0.85 exercise price | 2017-03-31 | |
| 2017-03-15 | Smith David E Director, 10% Owner | 4 | Convertible Debenture Derivative · Indirect · Through Shamus, LLC | C Conversion of derivative security | 0 owned after | $1.10 exercise price | 2017-03-16 | |
| 2016-12-29 | Smith David E Director, 10% Owner | 4 | Convertible Debenture Derivative · Indirect · Through Shamus, LLC | J Other acquisition or disposition (describe transaction) | +352,942 352,942 owned after | $0.85 exercise price | 2017-01-04 | |
| 2016-12-15 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Convertible Debenture Derivative · Indirect · By Acuitas Group Holdings, LLC | J Other acquisition or disposition (describe transaction) | +2,557,088 2,557,088 owned after | $1.10 exercise price | 2016-12-23 | |
| 2016-12-15 | Smith David E Director, 10% Owner | 4 | Convertible Debenture Derivative · Indirect · Through Shamus, LLC | J Other acquisition or disposition (describe transaction) | +909,091 909,091 owned after | $1.10 exercise price | 2016-12-20 | |
| 2015-07-30 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | 12% Convertible Debenture Derivative · Indirect · By Acuitas Group Holdings, LLC | P Open market or private purchase of non-derivative or derivative security | +935,008 1,870,016 owned after | $1.90 | 2016-08-17 | |
| 2012-02-22 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group, LLC | P Open market or private purchase of non-derivative or derivative security | +0 3,250,000 owned after | $975,000.00 | 2012-04-20 | |
| 2011-12-27 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group, LLC | C Conversion of derivative security | −4,807,694 0 owned after | $0.26 exercise price | 2012-04-20 | |
| 2011-12-27 | Smith David E 10% Owner | 4 | Senior Secured Convertible Note Derivative · Direct | C Conversion of derivative security | −1 0 owned after | $0.26 exercise price | 2012-02-01 | |
| 2011-12-08 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group, LLC | P Open market or private purchase of non-derivative or derivative security | +0 4,807,694 owned after | $45,000.00 | 2012-04-20 | |
| 2011-12-08 | Smith David E 10% Owner | 4 | Senior Secured Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 1 owned after | $155,000.00 | 2011-12-12 | |
| 2011-11-30 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group, LLC | P Open market or private purchase of non-derivative or derivative security | +0 4,634,617 owned after | $1,205,000.00 | 2011-12-06 | |
| 2011-11-15 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group, LLC | P Open market or private purchase of non-derivative or derivative security | +0 3,730,770 owned after | $970,000.00 | 2011-12-06 | |
| 2011-11-15 | Smith David E 10% Owner | 4 | Senior Secured Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 1 owned after | $100,000.00 | 2011-11-17 | |
| 2011-11-02 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group LLC | P Open market or private purchase of non-derivative or derivative security | +0 3,115,385 owned after | $810,000.00 | 2011-12-06 | |
| 2011-11-01 | Smith David E 10% Owner | 4 | Senior Secured Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 1 owned after | $100,000.00 | 2011-11-03 | |
| 2011-10-05 | Smith David E 10% Owner | 4/A | Senior Secured Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 4 owned after | $0.26 exercise price | 2011-10-21 | |
| 2011-10-05 | Smith David E 10% Owner | 4 | Senior Secured Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 1 owned after | $0.26 exercise price | 2011-10-11 | |
| 2011-08-17 | PEIZER TERREN S Director, Officer (Chairman & CEO), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group, LLC | P Open market or private purchase of non-derivative or derivative security | +0 2,500,000 owned after | $650,000.00 | 2011-12-06 | |
| 2011-03-17 | Smith David E 10% Owner | 4/A | Convertible Promissory Note Derivative · Direct | C Conversion of derivative security | −1 2 owned after | $0.40 exercise price | 2011-10-21 | |
| 2010-11-26 holding as of filing | Smith David E 10% Owner | 3 | Convertible Promissory Note Derivative · Direct | Holding | $0.01 exercise price | 2010-11-26 | ||
| 2010-11-12 | Wolf Jay Director | 4 | 12% Convertible Promissory Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +17,121,585 17,621,585 owned after | $0.01 | 2010-11-18 | |
| 2010-10-19 | PEIZER TERREN S Director, Officer (Chief Executive Officer), 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Indirect · By Socius Capital Group, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250,000 15,459,000 owned after | $500,000.00 | 2010-10-20 |