Filing Details
- Accession Number:
- 0001591956-18-000034
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-13 17:18:51
- Reporting Period:
- 2018-08-09
- Accepted Time:
- 2018-08-13 17:18:51
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1591956 | Sphere 3D Corp | ANY | Services-Computer Processing & Data Preparation (7374) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1724512 | C Jenny Yeh | 9112 Spectrum Center Blvd San Diego CA 92123 | Svp & General Counsel | 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 | 2018-08-09 | 1,333 | $0.00 | 14,819 | No | 4 | M | Direct | |
Common Stock | Disposition | 2018-08-10 | 579 | $0.31 | 14,240 | No | 4 | S | Direct | |
Common Stock | Disposition | 2018-08-13 | 754 | $0.19 | 13,486 | 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 | 2018-08-09 | 1,333 | $0.00 | 1,333 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
111,223 | 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 November 20, 2017.
- The RSUs reported under column 9 represent three awards. The underlying shares and vesting schedules are as follows: (i) 1,333 shares which vest on 10-5-18; (ii) 2,666 shares which vest in two bi-annual installments beginning on 2-9-19; and (iii) 107,224 shares which vest in five bi-annual installments beginning on 12-18-18.