Trompeter Patricia's Form 4/A amendment
AmendedDarkHorse Technologies Inc. (ANY) · filed Nov 17, 2023
- Accession no.
- 0001062993-23-021140
- Filed
- Nov 17, 2023, 5:59 PM ET
- Trade date
- May 22, 2023
- Filing delay
- 179 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- May 23, 2023
This filing lists 1 non-derivative transaction. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $13.1K. It was filed 179 days after the trade.
This amendment restates part of 0001062993-23-012017 (filed May 23, 2023). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Trompeter PatriciaCIK 0001888940 | Director, Officer (CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 22, 2023 | Common Stock | SSaleDisposed | −10,000 | $0.3302 | −$3,302 | 422,467 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001062993-23-012017 (filed May 23, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 22, 2023 | Common Stock | MOption exerciseAcquired | +193,550 | –F1 | – | 474,325 | Direct | |
| May 23, 2023 | Common Stock | SSaleDisposed | −29,142 | $0.3355 | −$9,777.14 | 403,325 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 22, 2023 | Common Stock | MOption exerciseDisposed | −193,550 | –F1 | – | 1,024,200 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
Each RSU represents a contingent right to receive one share of Sphere 3D Corp. common stock.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was inadvertently omitted from the Form 4 filed on 5/23/23 and represents the sale of shares by the reporting person to satisfy the issuer's tax withholding obligations in connection with the vesting of RSUs.
Remarks
The common shares and sale price reported in columns 4 and 5 do not reflect the issuer's 1 for 7 reverse stock split effective June 28, 2023.