SEC Form 3 · accession 0001591956-17-000057
DarkHorse Technologies Inc. · DRK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Tassiopoulos
Officer — President and Vice Chairman · Director
Period of report
Jun 30, 2017
Accepted (ET)
Dec 29, 2017 · 7:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001591956
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 4,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2,F1 | $16.86 | holding | — | — | — | — | Mar 3, 2018 | Common Stock | 4,000 | — | D |
| Non-Qualified Stock Option (right to buy)F3,F1 | $53.15 | holding | — | — | — | — | Sep 15, 2023 | Common Stock | 4,000 | — | D |
Explanation of responses
- F1These stock options are fully vested and exercisable.
- F2The exercise price is based on a CAD exercise price of 21.25 at an exchange rate of 0.7933.
- F3The exercise price is based on a CAD exercise price of 67.00 at an exchange rate of 0.7933.
Remarks
Sphere 3D Corp. is no longer a foreign private issuer as of June 30, 2017. The reporting person is filing this Form 3 on or before January 1, 2018 per SEC Corp. Fin. Compliance and Disclosure Interpretation 101.02 [Aug. 11, 2010] under Section 16 (General Guidance).