Statement of Changes in Beneficial Ownership (4)
November 04 2013 - 3:11PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Indaba Capital Management, LLC
|
2. Issuer Name
and
Ticker or Trading Symbol
UNWIRED PLANET, INC.
[
UPIP
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
ONE LETTERMAN DRIVE, BUILDING D, SUITE DM700
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/31/2013
|
(Street)
SAN FRANCISCO, CA 94129
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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, par value $0.001 per share
|
10/31/2013
|
|
X
|
|
275000
|
A
|
$1.62
|
11348780
|
D
(1)
|
|
Common Stock, par value $0.001 per share
|
10/31/2013
|
|
X
|
|
275000
|
A
|
$1.62
|
11348780
|
I
|
See Footnote
(2)
|
Common Stock, par value $0.001 per share
|
10/31/2013
|
|
X
|
|
100000
|
A
|
$1.61
|
11448780
|
D
(1)
|
|
Common Stock, par value $0.001 per share
|
10/31/2013
|
|
X
|
|
100000
|
A
|
$1.61
|
11448780
|
I
|
See Footnote
(2)
|
Common Stock, par value $0.001 per share
|
11/1/2013
|
|
X
|
|
50500
|
A
|
$1.53
|
11499280
|
D
(1)
|
|
Common Stock, par value $0.001 per share
|
11/1/2013
|
|
X
|
|
50500
|
A
|
$1.53
|
11499280
|
I
|
See Footnote
(2)
|
Common Stock, par value $0.001 per share
|
11/1/2013
|
|
X
|
|
99500
|
A
|
$1.51
|
11598780
|
D
(1)
|
|
Common Stock, par value $0.001 per share
|
11/1/2013
|
|
X
|
|
99500
|
A
|
$1.51
|
11598780
|
I
|
See Footnote
(2)
|
Common Stock, par value $0.001 per share
|
11/1/2013
|
|
X
|
|
225000
|
A
|
$1.46
|
11823780
|
D
(1)
|
|
Common Stock, par value $0.001 per share
|
11/1/2013
|
|
X
|
|
225000
|
A
|
$1.46
|
11823780
|
I
|
See Footnote
(2)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
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 of Derivative Security: 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
|
Explanation of Responses:
|
(
1)
|
These securities are directly owned by Indaba Capital Fund, L.P.
|
(
2)
|
These securities are indirectly beneficially owned by (a) Indaba Capital Management, LLC by virtue of its role as the investment manager of Indaba Capital Fund, L.P., (b) Indaba Partners, LLC by virtue of its role as the general partner of Indaba Capital Fund, L.P., and (c) Derek C. Schrier as the Senior Managing Member of Indaba Capital Management, LLC and Indaba Partners, LLC. Each Reporting Person hereby disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
|
Remarks:
Each reporting person hereby disclaims beneficial ownership over the securities, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that any reporting person is the beneficial owner of the reported securities for purposes of Section 16 of the Act or for any other purpose.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Indaba Capital Management, LLC
ONE LETTERMAN DRIVE
BUILDING D, SUITE DM700
SAN FRANCISCO, CA 94129
|
|
X
|
|
|
Indaba Partners, LLC
ONE LETTERMAN DRIVE
BUILDING D, SUITE DM700
SAN FRANCISCO, CA 94129
|
|
X
|
|
|
SCHRIER DEREK C
C/O INDABA CAPITAL MANAGEMENT, LLC
ONE LETTERMAN DRIVE, BUILDING D
SAN FRANCISCO, CA 94129
|
|
X
|
|
|
Indaba Capital Fund, L.P.
MAPLES CORPORATE SERVICES
121 SOUTH CHURCH STREET
GRAND CAYMAN, E9 KY1-1104
|
|
X
|
|
|
Signatures
|
/s/ Hank Brier, as General Counsel of Indaba Capital Management, LLC
|
|
11/4/2013
|
**
Signature of Reporting Person
|
Date
|
/s/ Hank Brier, as General Counsel of Indaba Partners, LLC
|
|
11/4/2013
|
**
Signature of Reporting Person
|
Date
|
/s/ Hank Brier, as General Counsel of Indaba Capital Fund, L.P.
|
|
11/4/2013
|
**
Signature of Reporting Person
|
Date
|
/s/ Derek C. Schrier
|
|
11/4/2013
|
**
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Great Elm Capital (NASDAQ:GEC)
Historical Stock Chart
From Aug 2024 to Sep 2024
Great Elm Capital (NASDAQ:GEC)
Historical Stock Chart
From Sep 2023 to Sep 2024