Securities Registration: Employee Benefit Plan (s-8)
November 15 2016 - 6:08AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on November
14, 2016
Registration No. __________________
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
___________________
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
___________________
SPHERE 3D CORP.
(Exact Name of Registrant as Specified in Its Charter)
___________________
Ontario, Canada
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Not Applicable
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(State or Other Jurisdiction of
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(I.R.S. Employer
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Incorporation or Organization)
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Identification No.)
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240 Matheson Blvd. East
Mississauga, Ontario
L4Z 1X1
(Address, Including Zip Code, of Principal Executive
Offices)
___________________
Sphere 3D Corp. 2015 Performance Incentive
Plan
(Full Title of the Plan)
___________________
DL SERVICES
Columbia Centre,
701 Fifth
Avenue,
Suite 6100, Seattle,
Washington,
98104
(206) 903-8800
(Name, Address and
Telephone Number, Including Area Code, of Agent for Service)
COPY TO:
Warren T. Lazarow, Esq.
Paul Sieben, Esq.
OMelveny & Myers LLP
2765 Sand Hill Road
Menlo Park, California 94025
(650) 473-2600
___________________
Indicate by check mark whether the registrant is a large
accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller
reporting company. See the definitions of large accelerated filer,
accelerated filer, and smaller reporting company in Rule 12b-2 of the
Exchange Act. (Check one):
Large accelerated filer [ ]
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Accelerated
filer
[ ]
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Non-accelerated filer [X]
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Smaller reporting company [ ]
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CALCULATION OF REGISTRATION FEE
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Proposed
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Proposed
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Maximum
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Maximum
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Title of
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Amount
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Offering
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Aggregate
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Amount Of
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Securities
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To Be
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Price
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Offering
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Registration
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To Be Registered
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Registered
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Per
Share
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Price
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Fee
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Common Shares, no par value per share,
issuable pursuant to awards granted under the Sphere 3D Corp. 2015
Performance Incentive Plan
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1,515,000
(1)
shares
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$0.56
(2)
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$848,400
(2)
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$99
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(1)
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This Registration Statement covers, in addition to the
number of common shares, no par value per share (the Common Shares) of
Sphere 3D Corp., a corporation amalgamated under the laws of the Province
of Ontario (the Company or the Registrant), stated above, options and
other rights to purchase or acquire the Common Shares covered by this
Registration Statement and, pursuant to Rule 416 under the Securities Act
of 1933, as amended (the Securities Act), an additional indeterminate
number of shares, options and rights that may be offered or issued
pursuant to the Sphere 3D Corp. 2015 Performance Incentive Plan (the
Plan) as a result of one or more adjustments under the Plan to prevent
dilution resulting from one or more stock splits, stock dividends or
similar transactions.
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(2)
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Estimated solely for the purpose of calculating the
registration fee in accordance with Rule 457(h) and 457(c) under the
Securities Act, based upon the average of the high and low prices of the
Common Shares on November 8, 2016 (which is within five business days
prior to the date of this filing), as quoted on the Nasdaq Global Select
Market.
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The Exhibit Index
for this Registration Statement is at page 9.
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EXPLANATORY NOTE
This Registration Statement is filed by the
Company to register additional securities issuable pursuant to the Plan and
consists of only those items required by General Instruction E to Form S-8.
__________________________
PART I
INFORMATION REQUIRED IN THE
SECTION 10(a) PROSPECTUS
The document(s) containing the information specified in Part I of
Form S-8 will be sent or given to participants as specified by Securities Act
Rule 428(b)(1).
PART II
INFORMATION REQUIRED IN THE
REGISTRATION STATEMENT
Item 3.
Incorporation of Certain Documents by Reference
The following documents of the Company filed with the
Securities and Exchange Commission (the Commission) are incorporated herein by
reference:
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(a)
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The Registrants Registration Statement on Form S-8,
filed with the Commission on June 25, 2015 (Commission File No.
333-205236);
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(b)
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The Registrants Annual Report on Form 40-F (File No.
001-36532) for its fiscal year ended December 31, 2015, filed with the
Commission on March 30, 2016 (the Form 40-F), which includes the audited
consolidated balance sheets of the Registrant and subsidiaries as of
December 31, 2015 and 2014, and the related audited consolidated
statements of operations, equity and comprehensive income (loss), and cash
flows for each of the years in the two-year period ended December 31,
2015.
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(c)
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The description of the Registrants common shares
contained in its Registration Statement on Form 8-A (File No. 001-36532)
filed with the Commission on July 7, 2014 pursuant to Section 12 of the
Securities Exchange Act of 1934, as amended (the Exchange Act), and any
other amendment or report filed for the purpose of updating such
description.
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(d)
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The audited consolidated balance sheets of the Registrant
and subsidiaries as of December 31, 2013, and the related audited
consolidated statements of operations, equity and comprehensive income
(loss), and cash flows and the notes to the financial statements related
thereto for the year ended December 31, 2013 contained in our Annual
Report on Form 40-F (File No. 001-36532) filed with the SEC on March 31,
2015;
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(e)
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The Registrants Registration Statement on Form F-4 (File
No. 333-197569) filed with the Commission on July 23, 2014, as
subsequently amended (the Form F- 4), which includes (i) the audited
consolidated balance sheets of the Registrant and subsidiaries as of
December 31, 2013, and the related audited consolidated statements of
operations, equity and comprehensive income (loss), and cash flows for the
period ended December 31, 2013, (ii) the consolidated audited balance
sheets of Overland Storage, Inc. and subsidiaries (Overland) as of June
30, 2014 and 2013, and the related audited consolidated statements of
operations, equity and comprehensive income (loss), and cash flows for the
period ended June 30, 2014, (iii) the audited consolidated balance sheets
of Tandberg Data S.à r.l. and subsidiaries (Tandberg) as of December 31,
2013, and the related audited consolidated statements of operations,
equity and comprehensive income (loss), and cash flows for each of the
years in the two-year period ended December 31, 2013, and (iv) the
unaudited pro forma condensed combined financial information of the
Registrant, Overland and Sphere giving effect to the acquisition of
Overland by the Registrant and derived from the
historical consolidated financial statements and notes thereto of
the Registrant, Overland and Tandberg contained in the Form F-4.
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(f)
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The Registrants Reports of Foreign Private Issuer on
Form 6-K (File No. 001- 36532) furnished to the Commission on May 14,
2015, August 12, 2016 and November 14, 2016, which include unaudited
consolidated balance sheets of the Registrant and subsidiaries for the
three months ended March 31, 2015 and 2014, three and six months ended
June 30, 2016 and 2015, and three and nine months ended September 30, 2016
and 2015, respectively.
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All documents subsequently filed by the Company pursuant to Sections
13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended
(the Exchange Act), and all Reports of Foreign Private Issuer on Form 6-K (or
portions thereof) subsequently furnished to the Commission that are identified
in such form as being incorporated by reference into this Registration Statement
prior to the filing of a post-effective amendment which indicates that all
securities offered hereby have been sold or which deregisters all securities
then remaining unsold, shall be deemed to be incorporated by reference into this
Registration Statement and to be a part hereof from the date of filing of such
documents; provided, however, that unless otherwise identified, documents or
information deemed to have been furnished and not filed in accordance with
Commission rules shall not be deemed incorporated by reference into this
Registration Statement. Any statement contained herein or in a document, all or
a portion of which is incorporated or deemed to be incorporated by reference
herein, shall be deemed to be modified or superseded for purposes of this
Registration Statement to the extent that a statement contained herein or in any
other subsequently filed document which also is or is deemed to be incorporated
by reference herein modifies or supersedes such statement. Any such statement so
modified or superseded shall not be deemed, except as so modified or amended, to
constitute a part of this Registration Statement.
Item 5.
Interests of Named Experts and Counsel
Not applicable.
Item 8.
Exhibits
See the attached Exhibit Index at page 9, which is incorporated herein by
reference.
SIGNATURES
Pursuant to the requirements of the Securities
Act, the Registrant certifies that it has reasonable grounds to believe that it
meets all of the requirements for filing on Form S-8 and has duly caused this
Form S-8 Registration Statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in the City of San Jose, State of California, on
November 14, 2016.
SPHERE 3D CORP.
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By:
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/s/ Eric Kelly
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Eric Kelly
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Chief Executive Officer
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POWER OF ATTORNEY
Each person whose signature appears below
constitutes and appoints Eric Kelly and Peter Tassiopoulos, or either one or
both of them, as his or her true and lawful attorneys-in-fact and agents, with
full power of substitution and resubstitution, for him or her and in his or her
name, place, and stead, in any and all capacities, to sign any and all
amendments (including post-effective amendments, exhibits thereto and other
documents in connection therewith) to this Registration Statement, and to file
the same, with all exhibits thereto, and other documents in connection
therewith, with the Commission, granting unto said attorneys-in-fact and agents,
and each of them, full power and authority to do and perform each and every act
and thing requisite and necessary to be done in and about the premises, as fully
to all intents and purposes as he or she might or could do in person, hereby
ratifying and confirming all that each of said attorneys-in-fact and agents, or
his substitute or substitutes, may lawfully do or cause to be done by virtue
hereof.
Pursuant to the requirements of the Securities
Act, this Registration Statement has been signed below by the following persons
in the capacities and on the dates indicated.
Signature
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Title
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Date
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/s/
Eric Kelly
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Chairman of the Board and Chief
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November 14, 2016
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Eric Kelly
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Executive Officer
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(Principal Executive Officer)
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/s/ Kurt Kalbfleisch
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Chief Financial Officer
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November 14, 2016
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Kurt Kalbfleisch
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(Principal Financial and Accounting
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Officer)
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/s/
Peter Ashkin
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Director
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November 14, 2016
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Peter Ashkin
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/s/
Daniel J. Bordessa
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Director
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November 14, 2016
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Daniel J. Bordessa
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/s/
Glenn M. Bowman
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Director
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November 14, 2016
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Glenn M. Bowman
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/s/
Vivekanand Mahadevan
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Director
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November 14, 2016
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Vivekanand Mahadevan
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/s/
Peter Tassiopoulos
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Director
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November 14, 2016
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Peter Tassiopoulos
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SIGNATURE OF AUTHORIZED REPRESENTATIVE IN THE UNITED
STATES
Pursuant to the requirements of the Securities Act, the
undersigned, the duly authorized representative in the United States of the
Registrant, has signed this registration statement in the City of San Jose,
State of California on November 14, 2016.
AUTHORIZED U.S. REPRESENTATIVE
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By:
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/s/ Eric Kelly
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Eric Kelly
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Chairman of the Board and Chief
Executive
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Officer
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