SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
MF Ventures, LLC

(Last) (First) (Middle)
201 SPEAR STREET, 14TH FLOOR

(Street)
SAN FRANCISCO CA 94105

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Sphere 3D Corp [ ANY ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/20/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/20/2018 S 5,754(1) D $3.0823(2) 243,567(1)(3) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
MF Ventures, LLC

(Last) (First) (Middle)
201 SPEAR STREET, 14TH FLOOR

(Street)
SAN FRANCISCO CA 94105

(City) (State) (Zip)
1. Name and Address of Reporting Person*
MACFARLANE VICTOR B

(Last) (First) (Middle)
C/O MF VENTURES, LLC
201 SPEAR STREET, 14TH FLOOR

(Street)
SAN FRANCISCO CA 94105

(City) (State) (Zip)
1. Name and Address of Reporting Person*
MacFarlane Thaderine D.

(Last) (First) (Middle)
C/O MF VENTURES, LLC
201 SPEAR STREET, 14TH FLOOR

(Street)
SAN FRANCISCO CA 94105

(City) (State) (Zip)
Explanation of Responses:
1. All share and per share amounts herein have been adjusted to give effect to the 1-for-8 reverse stock split of the Company completed on November 5, 2018.
2. The range of prices for the shares of Common Stock is from $3.04 to $3.10. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
3. Victor B. MacFarlane and Thaderine D. MacFarlane are controlling members of MF Ventures, LLC and may be deemed to share and have indirect beneficial ownership over, and share indirect pecuniary interest in 243,567 shares held directly by MF Ventures, LLC.
Remarks:
/s/ Katharine Ryan-Weiss, as Attorney-in-Fact for MF Ventures, LLC 12/20/2018
/s/ Katharine Ryan-Weiss, as Attorney-in-Fact for Victor B. MacFarlane 12/20/2018
/s/ Katharine Ryan-Weiss, as Attorney-in-Fact for Thaderine D. MacFarlane 12/20/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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