Filing Details
- Accession Number:
- 0001062993-23-021855
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-04 20:05:32
- Reporting Period:
- 2023-11-30
- Accepted Time:
- 2023-12-04 20:05:32
- 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 | C/O Sphere 3D Corp. 243 Tresser Blvd., 17Th Floor Stamford CT 06901 | 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 | Disposition | 2023-11-30 | 26,240 | $0.63 | 53,483 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-12-01 | 97,143 | $0.00 | 150,626 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-01 | 34,000 | $0.80 | 116,626 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-12-01 | 38,617 | $0.91 | 78,089 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2023-12-01 | 97,143 | $0.00 | 97,143 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 23,214 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,142 | Indirect | By Daughter |
| Common Stock | 2,142 | Indirect | By Son |
Footnotes
- $6,638.46 of 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 RSUs on November 15, 2023. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $0.62 to $0.6831, inclusive.
- Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock.
- $6,623.87 of 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 RSUs on December 1, 2023. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $0.60 to $1.06, inclusive.
- The RSUs reported under column 9 represents one award. The underlying shares and vesting schedules are as follows: 11,607 shares vest on 6/20/24 and 11,607 shares vest on 6/20/25.
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