- Company Dashboard
- Financials
- Filings
-
Holdings
- Transcripts
- ETFs
- Insider
- Institutional
- Shorts
-
SC 13D/A Filing
Great Elm Capital SC 13D/AUnwired Planet, Inc.
Filed: 31 Jul 15, 12:00am
CUSIP No. 91531F103 | SCHEDULE 13D/A | Page 2 of 8 pages | ||
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Indaba Capital Management, L.P. | |||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ¨ (b) x | |||
3. | SEC USE ONLY | |||
4. | SOURCE OF FUNDS (see instructions) AF | |||
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ | |||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE VOTING POWER 0 | ||
8. | SHARED VOTING POWER 6,568,780 | |||
9. | SOLE DISPOSITIVE POWER 0 | |||
10. | SHARED DISPOSITIVE POWER 6,568,780 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,568,780 | |||
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ¨ | |||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.85% (1) | |||
14. | TYPE OF REPORTING PERSON (see instructions) IA | |||
___________ (1) Calculation of the foregoing percentage is based on 112,243,093 shares of Common Stock, par value $0.001 per share, of Unwired Planet, Inc. (the "Issuer") based on information provided by the Issuer in its Form 10-Q filed on May 7, 2015. |
CUSIP No. 91531F103 | SCHEDULE 13D/A | Page 3 of 8 pages | |||||||
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Indaba Partners, LLC | |||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ¨ (b) x | |||
3. | SEC USE ONLY | |||
4. | SOURCE OF FUNDS (see instructions) AF | |||
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ | |||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE VOTING POWER 0 | ||
8. | SHARED VOTING POWER 6,568,780 | |||
9. | SOLE DISPOSITIVE POWER 0 | |||
10. | SHARED DISPOSITIVE POWER 6,568,780 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,568,780 | |||
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ¨ | |||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.85% (1) | |||
14. | TYPE OF REPORTING PERSON (see instructions) OO | |||
___________ (1) Calculation of the foregoing percentage is based on 112,243,093 shares of Common Stock, par value $0.001 per share, of the Issuer based on information provided by the Issuer in its Form 10-Q filed on May 7, 2015. |
CUSIP No. 91531F103 | SCHEDULE 13D/A | Page 4 of 8 pages | |||||||
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) IC GP, LLC | |||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ¨ (b) x | |||
3. | SEC USE ONLY | |||
4. | SOURCE OF FUNDS (see instructions) AF | |||
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ | |||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE VOTING POWER 0 | ||
8. | SHARED VOTING POWER 6,568,780 | |||
9. | SOLE DISPOSITIVE POWER 0 | |||
10. | SHARED DISPOSITIVE POWER 6,568,780 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,568,780 | |||
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ¨ | |||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.85% (1) | |||
14. | TYPE OF REPORTING PERSON (see instructions) OO | |||
___________ (1) Calculation of the foregoing percentage is based on 112,243,093 shares of Common Stock, par value $0.001 per share, of the Issuer based on information provided by the Issuer in its Form 10-Q filed on May 7, 2015. |
CUSIP No. 91531F103 | SCHEDULE 13D/A | Page 5 of 8 pages | |||||||
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Indaba Capital Fund, L.P. | |||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ¨ (b) x | |||
3. | SEC USE ONLY | |||
4. | SOURCE OF FUNDS (see instructions) WC | |||
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ | |||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE VOTING POWER 0 | ||
8. | SHARED VOTING POWER 6,568,780 | |||
9. | SOLE DISPOSITIVE POWER 0 | |||
10. | SHARED DISPOSITIVE POWER 6,568,780 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,568,780 | |||
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ¨ | |||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.85% (1) | |||
14. | TYPE OF REPORTING PERSON (see instructions) PN | |||
___________ (1) Calculation of the foregoing percentage is based on 112,243,093 shares of Common Stock, par value $0.001 per share, of the Issuer based on information provided by the Issuer in its Form 10-Q filed on May 7, 2015. |
CUSIP No. 91531F103 | SCHEDULE 13D/A | Page 6 of 8 pages | ||||||
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Derek C. Schrier | |||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ¨ (b) x | |||
3. | SEC USE ONLY | |||
4. | SOURCE OF FUNDS (see instructions) AF | |||
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ | |||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION United States |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE VOTING POWER 0 | ||
8. | SHARED VOTING POWER 6,568,780 | |||
9. | SOLE DISPOSITIVE POWER 0 | |||
10. | SHARED DISPOSITIVE POWER 6,568,780 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,568,780 | |||
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ¨ | |||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.85% (1) | |||
14. | TYPE OF REPORTING PERSON (see instructions) IN | |||
___________ (1) Calculation of the foregoing percentage is based on 112,243,093 shares of Common Stock, par value $0.001 per share, of the Issuer based on information provided by the Issuer in its Form 10-Q filed on May 7, 2015. |
CUSIP No. 91531F103 | SCHEDULE 13D/A | Page 7 of 8 pages |
CUSIP No. 91531F103 | SCHEDULE 13D/A | Page 8 of 8 pages |
INDABA CAPITAL MANAGEMENT, L.P. | ||||
By: | /s/ Hank Brier | |||
Name: Hank Brier | ||||
Title: General Counsel |
INDABA PARTNERS, LLC | ||||
By: | /s/ Hank Brier | |||
Name: Hank Brier | ||||
Title: General Counsel |
IC GP, LLC | ||||
By: | /s/ Hank Brier | |||
Name: Hank Brier | ||||
Title: General Counsel |
INDABA CAPITAL FUND, L.P. | ||||
By: | /s/ Hank Brier | |||
Name: Hank Brier | ||||
Title: General Counsel |
/s/ Derek C. Schrier | ||||
DEREK C. SCHRIER | ||||