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
  1. 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.
  2. Represents shares owned indirectly by Mr. Guber, as trustee of the Guber Trust.
  3. 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.
  4. Represents Warrants owned directly by the Guber Family Trust.
  5. Represents Warrants owned indirectly by Mr. Guber.