Form 4 for DRK DarkHorse Technologies Inc.
Accepted 2023-12-04 00:00:00 ET · period of report 2023-11-30 · accession 0001062993-23-021855 · 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 | 2023-12-04 | 2023-11-30+ | DRK | Kalbfleisch Kurt L. | SVP, CFO | S - Sale+OE | $0.7967 | -64.9K | 78.1K | -45% | -$51.7K |
| D | 2023-12-04 | 2023-12-01 | DRK | Kalbfleisch Kurt L. | SVP, CFO | M - OptEx | — | +97.1K | 150.6K | +182% | — |
| D | 2023-12-04 | 2023-12-01 | DRK | Kalbfleisch Kurt L. | SVP, CFO | F - Tax | $0.8 | -34.0K | 116.6K | -23% | -$27.2K |
| D | 2023-12-04 | 2023-12-01 | DRK | Kalbfleisch Kurt L. | SVP, CFO | M - OptEx | — | -97.1K | 23.2K | -81% | — |
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 | 2023-11-30 | S | D | 26,240 | $0.63 | 53,483 | D | — | — | (F1) $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. |
| 2 | Common | Common Stock | 2023-12-01 | M | A | 97,143 | — | 150,626 | D | — | — | (F2) Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock. |
| 3 | Common | Common Stock | 2023-12-01 | F | D | 34,000 | $0.8 | 116,626 | D | — | — | |
| 4 | Common | Common Stock | 2023-12-01 | S | D | 38,617 | $0.91 | 78,089 | D | — | — | (F3) $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. |
| 5 | Derivative | Restricted Stock Unit (RSU) | 2023-12-01 | M | D | 97,143 | — | 23,214 | D | — · — to — | 97,143 Common Stock | (F2) Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock. (F4) 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. |