Ontrak, Inc. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2020-12-16: Form 8-K; Period of report 2020-12-15; Description 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; Details 1.01.
- 2020-12-15: Form 8-K; Period of report 2020-12-14; Description 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; Details 1.01.
- 2020-11-05: Form 8-K; Period of report 2020-11-05; Description 2.02 Results of Operations and Financial Condition; Details 2.02.
- 2020-10-23: Form 8-K; Period of report 2020-10-19; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2020-12-16 | 8-K | 2020-12-15 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 7.01 On December 16, 2020, the Company issued a press release announcing that it had priced the Offering. | otrk20201215_8k.htm |
| 2020-12-15 | 8-K | 2020-12-14 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 7.01 On December 15, 2020, the Company issued a press release announcing that it had commenced the Underwritten Offering of the Series A Preferred Stock. | otrk20201212_8k.htm |
| 2020-11-05 | 8-K | 2020-11-05 | 2.02 Results of Operations and Financial Condition | 2.02 On November 5, 2020, Ontrak, Inc. (the “Company”) issued a press release announcing its financial results for the quarter ended September 30, 2020. | cats-20201105.htm |
| 2020-10-23 | 8-K | 2020-10-19 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On October 19, 2020, Ontrak, Inc. (the “Company”) appointed Robert Newton, age 55, to serve as its General Counsel and Secretary. | cats-20201019.htm |
| 2020-10-16 | 8-K | 2020-10-15 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 5.03 On October 15, 2020, the Company filed an amendment with the Delaware Secretary of State regarding the Certificate of Designations (the “Series A Designations”) originally filed on August 21, 2020 designating 1,955,000 shares of the Company’s authorized preferred stock as 9.50% Series A Cumulative Perpetual Preferred Stock, par value $0.0001 per share (the “Series A Preferred Stock”), with a liquidation preference of $25.00 per share, to increase the authorized number of Series A Preferred Stock to 3,955,000. | cats-20201015.htm |
| 2020-10-02 | 8-K | 2020-09-30 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | cats-20200930.htm |
| 2020-09-14 | 8-K | 2020-09-11 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | cats-20200911.htm |
| 2020-08-26 | 8-K | 2020-08-25 | 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 7.01 Regulation FD Disclosure | 2.03 As previously disclosed, on August 19, 2020, Ontrak, Inc. (the “Company”) entered into a conditional amendment (the "Conditional Amendment") to the Company’s Note Purchase Agreement dated September 24, 2019 (the “Note Agreement”) with Goldman Sachs Specialty Lending Holdings, Inc. and any other purchasers party thereto from time to time (collectively, the “Holders”) governing $35.0 million in aggregate principal amount of the Company’s outstanding senior secured notes (the “2024 Notes“). 7.01 On August 26, 2020, the Company issued a press release announcing that it had closed an offering of its 9.50% Series A Preferred Stock, resulting in gross proceeds to the Company of $42.5 million. | otrk20200824_8k.htm |
| 2020-08-21 | 8-K | 2020-08-20 | 1.01 Entry into a Material Definitive Agreement; 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 3.03 On August 21, 2020, the Company filed a Certificate of Designations (the “Series A Designations”) with the Delaware Secretary of State designating 1,955,000 shares of the Company’s authorized preferred stock as 9.50% Series A Cumulative Perpetual Preferred Stock, par value $0.0001 per share, with a liquidation preference of $25.00 per share, and further establishing the voting rights, powers, preferences and privileges, and the relative, participating, optional or other rights, and the qualifications, limitations or restrictions thereof, of the Series A Preferred Stock. 5.03 On August 21, 2020, the Company filed the Series A Designations with the Secretary of State of the State of Delaware to establish the voting rights, powers, preferences and privileges, and the relative, participating, optional or other rights, and the qualifications, limitations or restrictions thereof, of the Series A Perpetual Preferred Stock. 7.01 On August 21, 2020, the Company issued a press release announcing that it had priced the Offering. | otrk20200820_8k.htm |
| 2020-08-20 | 8-K | 2020-08-19 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 7.01 On August 20, 2020, the Company issued a press release announcing that it had commenced the offering of the Series A Preferred Stock. | otrk20200819_8k.htm |
| 2020-08-11 | 8-K | 2020-08-10 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On August 11, 2020, Ontrak, Inc. (the “Company”) announced that the Board of Directors (the “Board”) appointed Katherine B. Quinn to serve as a member of the Board, effective August 10, 2020. | cats-20200810.htm |
| 2020-08-05 | 8-K | 2020-08-05 | 2.02 Results of Operations and Financial Condition | 2.02 On August 5, 2020, Ontrak, Inc. (the “Company”) issued a press release announcing its financial results for the quarter ended June 30, 2020. | cats-20200805.htm |
| 2020-07-31 | 8-K | 2020-07-29 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | cats-20200729.htm |
| 2020-07-17 | 8-K | 2020-07-16 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 On July 16, 2020, Ontrak, Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”). | cats-20200716.htm |
| 2020-07-06 | 8-K | 2020-07-06 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 7.01 Regulation FD Disclosure; 8.01 Other Events | 5.03 On July 6, 2020, Catasys, Inc. (the "Company") filed with the Secretary of State of Delaware a Certificate of Amendment (the "Charter Amendment") to its Amended and Restated Certificate of Incorporation to change its corporate name to Ontrak, Inc. The Company's board of directors approved the Charter Amendment and an amendment and restatement of the Company's Bylaws (the "Old Bylaws" and, as amended and restated, the "Amended and Restated Bylaws") reflecting the name change. 7.01 On July 6, 2020, the Company issued a press release announcing the corporate name change and ticker symbol change. 8.01 In connection with the Company's corporate name change, we also changed the ticker symbol for our common stock on the Nasdaq Capital Market, which previously traded under the ticker symbol CATS. | cats-20200706.htm |
| 2020-07-01 | 8-K/A | 2020-06-30 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | cats-20200630.htm |
| 2020-07-01 | 8-K | 2020-06-30 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | cats-20200630.htm |
| 2020-06-30 | 8-K | 2020-06-30 | 8.01 Other Events | 8.01 On June 30, 2020, Catasys, Inc. (the “Company”) issued a press release announcing the accelerated expansion of its OnTrak solution with a leading national health plan across their National Medicare Advantage business. | cats20200629_8k.htm |
| 2020-06-11 | 8-K | 2020-06-08 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 5.03 On June 8, 2020, the Board of Directors of Catasys, Inc, a Delaware corporation (the “Company”) approved changes to the Company’s by-laws to permit the Company‘s board of directors to hold meetings of the Company’s stockholders by means of remote electronic communication to enable the Company’s annual meeting of stockholders for 2020 to be held in “virtual” format. | cats20200610_8k.htm |
| 2020-05-13 | 8-K | 2020-05-13 | 8.01 Other Events | 8.01 On May 13, 2020, Catasys, Inc. (the “Company”) issued a press release announcing the expansion of its OnTrak solution with a leading national health plan into Arizona. | cats20200513_8k.htm |
| 2020-05-07 | 8-K | 2020-05-07 | 2.02 Results of Operations and Financial Condition | 2.02 The information set forth under this “Item 2.02. | catsq120208-k.htm |
| 2020-04-07 | 8-K | 2020-04-07 | 8.01 Other Events | 8.01 On April 7, 2020, Catasys, Inc. (the “Company”) issued a press release announcing the expansion of its OnTrak solution with a leading national health plan into Indiana, Wisconsin, Kentucky and Arkansas. | cats20200406b_8k.htm |
| 2020-03-25 | 8-K | 2020-03-25 | 8.01 Other Events | 8.01 On March 25, 2020, Catasys, Inc. (the “Company”) issued a press release announcing that it has surpassed a weekly rate of 500 member enrollments for the month of March. | cats20200324_8k.htm |
| 2020-03-17 | 8-K | 2020-03-12 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 17, 2020, Catasys, Inc. (the “Company”) announced that Mr. Brandon LaVerne had been appointed to serve as the Chief Financial Officer of the Company, replacing Mr. Christopher Shirley. | cats20200316_8k.htm |
| 2020-03-12 | 8-K | 2020-03-12 | 2.02 Results of Operations and Financial Condition | 2.02 The information set forth under this “Item 2.02. | catsq42019312208-k.htm |
| 2020-03-03 | 8-K | 2020-03-03 | 8.01 Other Events | 8.01 On March 3, 2020, Catasys, Inc. (the “Company”) issued a press release announcing the appointment of Brian Kelly as the Company’s Senior Executive Vice President, Product Portfolio. | cats20200303_8k.htm |
| 2020-02-27 | 8-K | 2020-02-27 | 8.01 Other Events | 8.01 On February 27, 2020, Catasys, Inc. (the “Company”) issued a press release announcing the expansion of its OnTrak solution with a leading national health plan into Colorado, Washington, D.C., Virginia and Louisiana. | cats20200226_8k.htm |