Filing Details
- Accession Number:
- 0001615774-17-002766
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-26 17:02:14
- Reporting Period:
- 2016-05-20
- Filing Date:
- 2017-05-26
- Accepted Time:
- 2017-05-26 17:02:14
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
12239 | Spherix Inc | SPEX | Patent Owners & Lessors (6794) | 520849320 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1538372 | Anthony Hayes | One Rockefeller Plaza 11Th Floor New York NY 10020 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, $.0001 Par Value Per Share | Acquisiton | 2016-05-20 | 118,512 | $0.00 | 119,726 | No | 4 | A | Direct | |
Common Stock, $.0001 Par Value Per Share | Disposition | 2016-12-31 | 59,256 | $0.00 | 60,470 | No | 4 | D | Direct | |
Common Stock, $.0001 Par Value Per Share | Disposition | 2017-03-14 | 23,287 | $1.11 | 37,183 | No | 4 | F | Direct | |
Common Stock, $.0001 Par Value Per Share | Acquisiton | 2017-05-26 | 2,000 | $0.97 | 41,183 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | Direct | |
No | 4 | D | Direct | |
No | 4 | F | Direct | |
No | 4 | P | Direct |
Footnotes
- On May 20, 2016, the Reporting Person was granted 118,512 restricted stock units ("RSUs") under the Spherix Incorporated (the "Company") 2014 Equity Incentive Plan, of which 59,256 RSUs vested on December 31, 2016.
- As of December 31, 2016, 59,256 RSUs were forfeited.
- On March 14, 2017, 35,969 RSUs were delivered to the Reporting Person. 23,287 shares of common stock were withheld (at the closing price of the Company's common stock on the NASDAQ Capital Market on March 14, 2017) to satisfy the tax obligation relating to the vesting of the RSUs pursuant to Section 16b-3 under the Securities Exchange Act of 1934, as amended.