Sec Form 4 Filing - ANTHONY PAUL THOMAS @ CYNERGISTEK, INC - 2019-11-05

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person ANTHONY PAUL THOMAS 2. Issuer Name and Ticker or Trading Symbol CYNERGISTEK, INC [ CTEK] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) CFO (Last) (First) (Middle) 11940 JOLLYVILLE RD., STE. 300N 3. Date of Earliest Transaction (MM/DD/YY) 11/05/2019 (Street) AUSTIN, TX78759 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 11/05/2019 M 41,667 A $ 2.4 68,184 D Common Stock 11/05/2019 M 41,666 ( 2 ) A $ 2.4 ( 2 ) 109,850 D Common Stock 11/05/2019 F 32,573 D $ 3.07 ( 3 ) 77,277 D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Options $ 2.4 ( 1 ) 11/05/2019 M( 2 ) 41,667 11/05/2010 11/05/2019 Common Stock 41,667 $ 0 41,666 D Options $ 2.4 ( 1 ) 11/05/2019 M( 2 ) 41,666 11/05/2010 11/05/2019 Common Stock 9,093 ( 2 ) $ 0 0 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other ANTHONY PAUL THOMAS 11940 JOLLYVILLE RD., STE. 300N AUSTIN, TX78759 CFO Signatures /s/ Paul T. Anthony 11/07/2019 Signature of Reporting Person Date

Explanation of Responses:

( 1 )On November 5, 2009, the Issuer granted to the Reporting Person options to purchase up to 250,000 shares of common stock at an exercise price of $0.80. On January 12, 2017, the Issuer effectuated a reverse stock split at a ratio of 1:3, which resulted in the Reporting Person having options to purchase up to 83,333 shares at an exercise price of $2.40. The Reporting Person exercised the options immediately prior to their expiration. ( 2 )The Reporting Person exercised the option to purchase 41,667 shares and paid an exercise price of $2.40 per share. The Reporting Person also exercised the option to purchase the remaining 41,666 shares through a cashless exercise. The Issuer canceled 32,573 of the shares and issued to the Reporting Person 9,093 shares. ( 3 )The 10-day moving average of the Issuer's stock used in the calculations of the cashless exercise was $3.07 per share. As noted, the Issuer canceled the 32,573 shares.

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