Form 4 for DRK DarkHorse Technologies Inc.
Accepted 2023-05-23 00:00:00 ET · period of report 2023-05-22 · accession 0001062993-23-012017 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-05-23 | 2023-05-22+ | DRK | Trompeter Patricia | CEO, Dir | S - Sale+OE | $0.3341 | -71.0K | 403.3K | -15% | -$23.7K |
| D | 2023-05-23 | 2023-05-22 | DRK | Trompeter Patricia | CEO, Dir | M - OptEx | — | +193.6K | 474.3K | +69% | — |
| D | 2023-05-23 | 2023-05-22 | DRK | Trompeter Patricia | CEO, Dir | M - OptEx | — | -193.6K | 1.02M | -16% | — |
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 | 2023-05-22 | S | D | 41,858 | $0.33 | 432,467 | D | — | — | (F2) 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. |
| 2 | Common | Common Stock | 2023-05-23 | S | D | 29,142 | $0.34 | 403,325 | D | — | — | (F3) 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. |
| 3 | Common | Common Stock | 2023-05-22 | M | A | 193,550 | — | 474,325 | D | — | — | (F1) Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock. |
| 4 | Derivative | Restricted Stock Unit (RSU) | 2023-05-22 | M | D | 193,550 | — | 1,024,200 | D | — · — to — | 193,550 Common Stock | (F1) Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock. (F4) 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. |