SEC Form 4/A · accession 0001591956-18-000007
DarkHorse Technologies Inc. · DRK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kurt L. Kalbfleisch
Officer — SVP and CFO
Period of report
Feb 14, 2018
Accepted (ET)
Feb 22, 2018 · 5:01 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 StockF1,F2 | Feb 14, 2018 | M | 3,734 | — | A | 24,623 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | — | Feb 14, 2018 | M | 3,734 | D | — | — | Common Stock | 3,734 | 155,465 | D |
Explanation of responses
- F1This report is being filed to amend the Form 4 filed on February 16, 2018 in order to correct the number of shares reported as acquired by the reporting person upon release of vested Restricted Stock Units (RSUs). As of February 14, 2018, the reporting person owned only 24,623 shares of common stock. Corresponding adjustments apply to the number of shares reported as beneficially owned in column 5 of the entries for the sales of shares by the reporting person on February 15, 2018 and February 16, 2018 on the original Form 4 filing. As of February 16, 2018, the reporting person owned only 22,125 shares of common stock. As of February 14, 2018 the reporting person owned 155,465 RSUs.
- F2Each restricted stock unit ("RSU") represents a contingent right to receive one share of Sphere 3D Corp. common stock.
- F3The 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.