Filing Details
- Accession Number:
- 0001144204-13-028039
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-10 17:44:55
- Reporting Period:
- 2013-04-20
- Filing Date:
- 2013-05-10
- Accepted Time:
- 2013-05-10 17:44:55
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
317788 | Mandalay Digital Group Inc. | MNDL.OB | Patent Owners & Lessors (6794) | 222267658 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1409017 | Peter Guber | 4751 Wilshire Blvd 3Rd Floor Los Angeles CA 90010 | Yes | No | Yes | No | |
1409018 | Trust Family Guber | 4751 Wilshire Blvd 3Rd Floor Los Angeles CA 90010 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-04-20 | 714,286 | $500,000.00 | 714,286 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-04-20 | 714,286 | $500,000.00 | 714,286 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant to Purchase Common Stock (Right to Buy) | Acquisiton | 2013-04-20 | 178,571 | $0.00 | 178,571 | $0.70 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
178,571 | No | 4 | A | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Warrant to Purchase Common Stock (Right to Buy) | $0.00 | 178,571 | 178,571 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
178,571 | 178,571 | Indirect |
Footnotes
- On April 12, 2013, the Guber Family Trust (the "Guber Trust") acquired in the aggregate a total of 714,286 shares of common stock and warrants to purchase a total of 178,571 shares of Mandalay Digital Group, Inc. (the "Company") common stock (subject to adjustment), for a total purchase price of $500,000 in cash. The number of shares reported by the Reporting Person reflects pre-split amounts of common stock in conjunction with the 1-for-5 stock split, effective April 12, 2013.
- Represents shares owned indirectly by Mr. Guber, as trustee of the Guber Trust.
- In connection with the transaction described above in footnote (1), the Guber Trust received a warrant to purchase 178,571 shares of the Company's common stock ("Warrant"). The Warrant has an exercise price of $0.70 per share (subject to adjustment), a five year term, and may be exercised following the first anniversary of the date of issuance.
- Represents Warrants owned directly by the Guber Family Trust.
- Represents Warrants owned indirectly by Mr. Guber.