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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 , 2020 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 Ontrak , Inc. ( Exact name of registrant as specified in its charter ) Delaware ( State or other jurisdiction of incorporation ) 2120 Colorado Ave. , Suite 230 Santa Monica , CA 90404 ( Address of principal executive offices , including zip code ) ( 310 ) 444-4300 ( Registrant's telephone number , including area code ) 88-0464853 ( I.R.S. Employer Identification Number ) Securities registered pursuant to Section 12 ( b ) of the Act : Title of Each Class Common Stock , par value $ 0.0001 per share 9.50 % Series A Cumulative Perpetual Preferred Stock , $ 0.0001 par value Trading Symbol OTRK OTRKP Name of Each Exchange on Which Registered The NASDAQ Global Market The NASDAQ Global Market Securities registered pursuant to Section 12 ( g ) of the Act : Not Applicable Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes No ✔ Indicate by check mark whether the registrant : ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes ✔ No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes ✔ No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company or an emerging growth company . See definitions of " large accelerated filer ” , “ accelerated filer , ” “ smaller reporting company "