0001382963-18-000040.txt : 20180223
0001382963-18-000040.hdr.sgml : 20180223
20180223145106
ACCESSION NUMBER: 0001382963-18-000040
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180101
FILED AS OF DATE: 20180223
DATE AS OF CHANGE: 20180223
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FREIDHEIM STEPHEN C
CENTRAL INDEX KEY: 0001251783
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636025
MAIL ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 399 PARK AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cyrus Capital Advisors, L.L.C.
CENTRAL INDEX KEY: 0001570401
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636029
BUSINESS ADDRESS:
STREET 1: 399 PARK AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 380-5821
MAIL ADDRESS:
STREET 1: 399 PARK AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRS Master Fund, L.P.
CENTRAL INDEX KEY: 0001569793
STATE OF INCORPORATION: E9
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636031
BUSINESS ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 65 EAST 55TH STREET, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212.380.5800
MAIL ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 65 EAST 55TH STREET, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRESCENT 1 LP
CENTRAL INDEX KEY: 0001436902
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636024
BUSINESS ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 65 EAST 55TH STREET, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212.380.5800
MAIL ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 65 EAST 55TH STREET, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CYRUS CAPITAL PARTNERS, L.P.
CENTRAL INDEX KEY: 0001166564
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636027
BUSINESS ADDRESS:
STREET 1: 65 EAST 55 STREET
STREET 2: 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-380-5800
MAIL ADDRESS:
STREET 1: 65 EAST 55 STREET
STREET 2: 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: CYRUS CAPITAL PARTNERS, LP
DATE OF NAME CHANGE: 20050215
FORMER NAME:
FORMER CONFORMED NAME: OZF MANAGEMENT L P
DATE OF NAME CHANGE: 20020205
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CYRUS CAPITAL PARTNERS GP, LLC
CENTRAL INDEX KEY: 0001166774
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636026
BUSINESS ADDRESS:
STREET 1: 399 PARK AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-380-5800
MAIL ADDRESS:
STREET 1: 399 PARK AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: OZF MANAGEMENT LLC
DATE OF NAME CHANGE: 20020208
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cyrus Opportunities Master Fund II, Ltd.
CENTRAL INDEX KEY: 0001328640
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636030
BUSINESS ADDRESS:
STREET 1: OGIER GLOBAL (CAYMAN) LIMITED
STREET 2: 89 NEXUS WAY
CITY: CAMANA BAY, GRAND CAYMAN
STATE: E9
ZIP: KY1-9009
BUSINESS PHONE: 212.380.5800
MAIL ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 65 EAST 55TH STREET, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cyrus Select Opportunities Master Fund, Ltd.
CENTRAL INDEX KEY: 0001569790
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636023
BUSINESS ADDRESS:
STREET 1: OGIER GLOBAL (CAYMAN) LIMITED
STREET 2: 89 NEXUS WAY
CITY: CAMANA BAY, GRAND CAYMAN
STATE: E9
ZIP: KY1-9009
BUSINESS PHONE: 212.380.5800
MAIL ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 65 EAST 55TH STREET, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FBC HOLDINGS S.A.R.L.
CENTRAL INDEX KEY: 0001530547
STATE OF INCORPORATION: N4
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36532
FILM NUMBER: 18636028
BUSINESS ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 399 PARK AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2123805800
MAIL ADDRESS:
STREET 1: C/O CYRUS CAPITAL PARTNERS, L.P.
STREET 2: 399 PARK AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sphere 3D Corp
CENTRAL INDEX KEY: 0001591956
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374]
IRS NUMBER: 000000000
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 240 MATHESON BLVD. EAST
CITY: MISSISSAUGA
STATE: A6
ZIP: L4Z 1X1
BUSINESS PHONE: 416-749-5999
MAIL ADDRESS:
STREET 1: 240 MATHESON BLVD. EAST
CITY: MISSISSAUGA
STATE: A6
ZIP: L4Z 1X1
3
1
edgar.xml
PRIMARY DOCUMENT
X0206
3
2018-01-01
0
0001591956
Sphere 3D Corp
ANY
0001166564
CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET
35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001166774
CYRUS CAPITAL PARTNERS GP, LLC
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001251783
FREIDHEIM STEPHEN C
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001436902
CRESCENT 1 LP
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001569790
Cyrus Select Opportunities Master Fund, Ltd.
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001569793
CRS Master Fund, L.P.
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001328640
Cyrus Opportunities Master Fund II, Ltd.
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001570401
Cyrus Capital Advisors, L.L.C.
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001530547
FBC HOLDINGS S.A.R.L.
C/O CYRUS CAPITAL PARTNERS, L.P.
65 E. 55TH STREET, 35TH FLOOR
NEW YORK
NY
10022
0
0
1
0
Common Stock
1019196
I
See Footnote
Convertible Promissory Notes
75.00
2014-12-01
2018-03-30
Common Stock
326667
I
See Footnote
Warrant (Right to Buy)
112.50
2015-02-20
2018-02-20
Common Stock
4000
I
See Footnote
Warrant (Right to Buy)
180.25
2015-03-06
2018-03-19
Common Stock
4000
I
See Footnote
Warrant (Right to Buy)
125.50
2015-03-20
2018-03-20
Common Stock
4000
I
See Footnote
Warrant (Right to Buy)
38.50
2015-12-21
2018-12-21
Common Stock
20000
I
See Footnote
Warrant (Right to Buy)
40.50
2016-02-26
2019-02-26
Common Stock
20000
I
See Footnote
Cyrus Opportunities Master Fund II, Ltd. ("Cyrus Opportunities") directly owns 18,934 shares of Common Stock of the Issuer; CRS Master Fund, L.P. ("CRS") directly owns 6,058 shares of Common Stock of the Issuer; Crescent I, L.P. ("Crescent") directly owns 6,961 shares of Common Stock of the Issuer;. Cyrus Select Opportunities Master Fund, Ltd. ("Cyrus Select") directly owns 3,057 shares of Common Stock of the Issuer; and FBC Holdings S.a r.l. ("FBC) directly owns 984,186 shares of Common Stock of the Issuer.
This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), Cyrus Capital Partners GP, L.L.C. ("Cyrus GP") , Cyrus Opportunities, CRS, Crescent, Cyrus Select, FBC, Cyrus Capital Advisors, L.L.C. ("Cyrus Advisors") and Stephen C. Freidheim (each of Cyrus, Cyrus GP, Cyrus Opportunities, CRS, Crescent, Cyrus Select, Cyrus Advisors, FBC and Mr. Freidheim, collectively the "Reporting Persons"). Each of Cyrus Opportunities, CRS, Crescent, Cyrus Select and FBC are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies. Cyrus is the investment manager of each of these private investment funds. Cyrus GP is the general partner of Cyrus. Cyrus Advisors is the general partner of Crescent and CRS. FBC is a wholly owned subsidiary of Cryus Opportunities. CRS, Crescent, Cyrus Europe Master Fund, Ltd.and Cyrus Select. Mr. Friedheim is the managing member of Cyrus GP and Cyrus Advisors and is the CIO of Cyrus.
Pursaunt to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.
The Convertible Promissory Notes dated as of December 1, 2014 by and between the Issuer and FBC (the "Notes") and are convertible, in whole or in part, by the holder into a number of shares of Common Stock equal to the principal amount of the Notes being converted divided by $75.00. The Notes are directly owned by FBC.
The Warrants are held directly by FBC.
/s/Stephen C. Freidheim, Manager of Cyrus Capital Partners GP, L.L.C., the general partner of Cyrus Capital Partners, L.P.
2018-02-23
/s/Stephen C. Freidheim, Manager of Cyrus Capital Partners GP, L.L.C.
2018-02-23
/s/Stephen C. Freidheim, individually
2018-02-23
/s/ Stephen C. Freidheim, Manager of Cyrus Capital Partners GP, L.L.C., the managing member of Capital Advisors, L.L.C., the general partner of Crescent 1, L.P.
2018-02-23
/s/Stephen C. Freidheim, Authorized Signatory of Cyrus Select Opportunities Master Fund, Ltd.
2018-02-23
/s/Stephen C. Freidheim, Manager of Cyrus Capital Partners GP, LLC, the managing member of Cyrus Capital Advisors, L.L.C., the general partner of CRS Master Fund, L.P.
2018-02-23
/s/ Stephen C. Freidheim, Authorized Signatory of Cyrus Opportunities Master Fund II, Ltd.
2018-02-23
/s/Stephen C. Freidheim, Manager of Cyrus Capital Partners GP, L.L.C., the managing member of Cyrus Capital Advisors, L.L.C.
2018-02-23
/s/Stephen C. Freidheim, Manager of Cyrus Capital Partners GP, L.L.C., the general partner of Cyrus Capital Partners, L.P., as investment manager of the shareholders of FBC Holdings S.a r.l.
2018-02-23