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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:超過5%持股股東披露文件-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. 經歷了一次重大申報事件,當時赫特福德顧問有限公司、卡拉維爾資本基金有限公司、Caravel Capital Investments, Inc.和Glen Gibbons共同向美國證券交易委員會提交了附表13G。文件顯示,這些實體由於相互關聯的關係和持股,可能被視爲實益擁有Sphere 3D共計1,629,000股普通股,這些普通股可在轉換其持有的某些H系列優先股後發行。這約佔公司已發行股票的9.99%。由於受益所有權限制,其餘H系列優先股的轉換目前不可行使,該限制防止所有權超過已發行股份的9.99%。該文件於2024年2月12日由赫特福德顧問有限公司董事埃裏克·斯特拉坎和兩家卡拉維爾實體的董事格倫·吉本斯認證。還提供了舉報人的地址和組織細節,赫特福德總部設在開曼群島,Caravel實體設在巴哈馬,吉本斯先生是加拿大公民。
2023年12月26日,Sphere 3D Corp. 經歷了一次重大申報事件,當時赫特福德顧問有限公司、卡拉維爾資本基金有限公司、Caravel Capital Investments, Inc.和Glen Gibbons共同向美國證券交易委員會提交了附表13G。文件顯示,這些實體由於相互關聯的關係和持股,可能被視爲實益擁有Sphere 3D共計1,629,000股普通股,這些普通股可在轉換其持有的某些H系列優先股後發行。這約佔公司已發行股票的9.99%。由於受益所有權限制,其餘H系列優先股的轉換目前不可行使,該限制防止所有權超過已發行股份的9.99%。該文件於2024年2月12日由赫特福德顧問有限公司董事埃裏克·斯特拉坎和兩家卡拉維爾實體的董事格倫·吉本斯認證。還提供了舉報人的地址和組織細節,赫特福德總部設在開曼群島,Caravel實體設在巴哈馬,吉本斯先生是加拿大公民。
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