Form 4 for DRK DarkHorse Technologies Inc.
Accepted 2023-05-04 00:00:00 ET · period of report 2023-05-02 · accession 0001062993-23-010189 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-05-04 | 2023-05-02 | DRK | Trompeter Patricia | CEO, Dir | F - Tax | $0.35 | -64.1K | 280.8K | -19% | -$22.4K |
| D | 2023-05-04 | 2023-05-02 | DRK | Trompeter Patricia | CEO, Dir | M - OptEx | — | +150.0K | 344.9K | +77% | — |
| D | 2023-05-04 | 2023-05-02 | DRK | Trompeter Patricia | CEO, Dir | M - OptEx | — | -150.0K | 1.22M | -11% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-05-02 | F | D | 64,090 | $0.35 | 280,775 | D | — | — | |
| 2 | Common | Common Stock | 2023-05-02 | M | A | 150,000 | — | 344,865 | D | — | — | (F1) Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock. |
| 3 | Derivative | Restricted Stock Unit (RSU) | 2023-05-02 | M | D | 150,000 | — | 1,217,750 | D | — · — to — | 150,000 Common Stock | (F1) Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock. (F3) The RSUs reported under column 9 represent two awards. The underlying shares and vesting schedules are as follows: (i) 193,550 shares vest on 5/22/2023 and 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. (F2) The RSUs vested on 4/8/2023, but were not released to the reporting person until 5/2/2023. |