Filing Details
- Accession Number:
- 0001062993-23-012017
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-05-23 18:49:15
- Reporting Period:
- 2023-05-22
- Accepted Time:
- 2023-05-23 18:49:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1591956 | Sphere 3D Corp. | ANY | Finance Services (6199) | 981220792 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1888940 | Patricia Trompeter | C/O Sphere 3D Corp. 4 Greenwich Office Park First Floor Greenwich CT 06831 | Ceo | 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 | Acquisiton | 2023-05-22 | 193,550 | $0.00 | 474,325 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-05-22 | 41,858 | $0.33 | 432,467 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-23 | 29,142 | $0.34 | 403,325 | 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 Unit (RSU) | Disposition | 2023-05-22 | 193,550 | $0.00 | 193,550 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,024,200 | No | 4 | M | Direct |
Footnotes
- Each 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $0.3302 to $0.335, inclusive.
- 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $0.3336 to $0.3371, inclusive.
- The RSUs reported under column 9 represent two awards. The underlying shares and vesting schedules are as follows: (i) 774,200 shares vest on 12/1/2023, and (ii) 125,000 shares vest on 4/8/24 and 125,000 shares vest on 4/8/25.
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