Filing Details
- Accession Number:
- 0001591956-18-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-16 19:45:43
- Reporting Period:
- 2018-02-14
- Accepted Time:
- 2018-02-16 19:45:43
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1591956 | Sphere 3D Corp | ANY | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1409130 | L. Kurt Kalbfleisch | 9112 Spectrum Center Blvd San Diego CA 92123 | Svp And Cfo | No | 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 | Acquisiton | 2018-02-14 | 3,840 | $0.00 | 24,729 | No | 4 | M | Direct | |
Common Stock | Disposition | 2018-02-15 | 1,573 | $2.23 | 23,156 | No | 4 | S | Direct | |
Common Stock | Disposition | 2018-02-16 | 925 | $2.25 | 22,231 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Units | Disposition | 2018-02-14 | 3,840 | $0.00 | 3,840 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
155,359 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of Sphere 3D Corp. common stock.
- This transaction represents the sale of shares by the reporting person to satisfy the issuer's tax withholding obligations in connection with the vesting of the RSUs.
- This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2017.
- The RSUs reported under column 9 represent two awards. The underlying shares and vesting schedules are as follows: (i)10,665 which vest in five equal monthly installments beginning 3-10-18; and (ii) 144,800 shares which vest in six bi-annual installments beginning on 6-18-18.