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Sphere 3d | SC 13G: Statement of acquisition of beneficial ownership by individuals-Hertford Advisors Ltd.(9.99%),Caravel Capital Fund Ltd.(9.99%), etc.

Sphere 3d | SC 13G:超过5%持股股东披露文件-Hertford Advisors Ltd.(9.99%),Caravel Capital Fund Ltd.(9.99%)等

SEC announcement ·  02/12 18:20
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On December 26, 2023, Sphere 3D Corp. experienced a significant filing event when Hertford Advisors Ltd., Caravel Capital Fund Ltd., Caravel Capital Investments, Inc., and Glen Gibbons collectively filed a Schedule 13G with the U.S. Securities and Exchange Commission. The filing indicates that these entities, due to their interconnected relationships and holdings, may be deemed to beneficially own an aggregate of 1,629,000 common shares of Sphere 3D, which are issuable upon the conversion of certain Series H Preferred Shares they hold. This represents approximately 9.99% of the company's outstanding shares. The conversion of the remaining Series H Preferred Shares is currently not exercisable due to a Beneficial Ownership Limitation, which prevents ownership exceeding 9.99% of the outstanding shares. The filing was certified by Eric Strachan, Director of Hertford Advisors Ltd., and Glen Gibbons, Director of both Caravel entities, on February 12, 2024. The addresses and organizational details of the reporting persons were also provided, with Hertford based in the Cayman Islands, Caravel entities in the Bahamas, and Mr. Gibbons being a Canadian citizen.
On December 26, 2023, Sphere 3D Corp. experienced a significant filing event when Hertford Advisors Ltd., Caravel Capital Fund Ltd., Caravel Capital Investments, Inc., and Glen Gibbons collectively filed a Schedule 13G with the U.S. Securities and Exchange Commission. The filing indicates that these entities, due to their interconnected relationships and holdings, may be deemed to beneficially own an aggregate of 1,629,000 common shares of Sphere 3D, which are issuable upon the conversion of certain Series H Preferred Shares they hold. This represents approximately 9.99% of the company's outstanding shares. The conversion of the remaining Series H Preferred Shares is currently not exercisable due to a Beneficial Ownership Limitation, which prevents ownership exceeding 9.99% of the outstanding shares. The filing was certified by Eric Strachan, Director of Hertford Advisors Ltd., and Glen Gibbons, Director of both Caravel entities, on February 12, 2024. The addresses and organizational details of the reporting persons were also provided, with Hertford based in the Cayman Islands, Caravel entities in the Bahamas, and Mr. Gibbons being a Canadian citizen.
2023年12月26日,Sphere 3D Corp. 经历了一次重大申报事件,当时赫特福德顾问有限公司、卡拉维尔资本基金有限公司、Caravel Capital Investments, Inc.和Glen Gibbons共同向美国证券交易委员会提交了附表13G。文件显示,这些实体由于相互关联的关系和持股,可能被视为实益拥有Sphere 3D共计1,629,000股普通股,这些普通股可在转换其持有的某些H系列优先股后发行。这约占公司已发行股票的9.99%。由于受益所有权限制,其余H系列优先股的转换目前不可行使,该限制防止所有权超过已发行股份的9.99%。该文件于2024年2月12日由赫特福德顾问有限公司董事埃里克·斯特拉坎和两家卡拉维尔实体的董事格伦·吉本斯认证。还提供了举报人的地址和组织细节,赫特福德总部设在开曼群岛,Caravel实体设在巴哈马,吉本斯先生是加拿大公民。
2023年12月26日,Sphere 3D Corp. 经历了一次重大申报事件,当时赫特福德顾问有限公司、卡拉维尔资本基金有限公司、Caravel Capital Investments, Inc.和Glen Gibbons共同向美国证券交易委员会提交了附表13G。文件显示,这些实体由于相互关联的关系和持股,可能被视为实益拥有Sphere 3D共计1,629,000股普通股,这些普通股可在转换其持有的某些H系列优先股后发行。这约占公司已发行股票的9.99%。由于受益所有权限制,其余H系列优先股的转换目前不可行使,该限制防止所有权超过已发行股份的9.99%。该文件于2024年2月12日由赫特福德顾问有限公司董事埃里克·斯特拉坎和两家卡拉维尔实体的董事格伦·吉本斯认证。还提供了举报人的地址和组织细节,赫特福德总部设在开曼群岛,Caravel实体设在巴哈马,吉本斯先生是加拿大公民。
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