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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CANNELL CAPITAL LLC 310 E. PEARL STREET P.O. BOX 3459 JACKSON, WY 83001 |
X |
/s/ J. Carlo Cannell, on behalf of Cannell Capital LLC | 01/11/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As of January 11, 2013, Tristan Offshore Fund Limited ("Tristan Offshore"), Tristan Partners, L.P. ("Tristan"), The Cuttyhunk Master Portfolio ("Cutty"), Tonga Partners, L.P. ("Tonga"), the Optima UCITS Umbrella Plc / Cannell UCITS Fund ("Cannell UCITS"), and sundry separately managed accounts ("Cannell SMAs" and collectively with Tristan Offshore, Tristan, Cutty, Cannell UCITS, and Tonga, the "Funds") owned in the aggregate (i) 2,512,412 shares of common stock, with no par value per share of Multiband, Inc. |
(2) | Cannell Capital LLC acts as the investment adviser to Tristan Offshore, Cutty, the Cannell UCITS Fund, and the Cannell SMAs, and is the general partner of and investment adviser to Tristan and Tonga. Mr. J. Cannell is the sole managing member of Cannell Capital LLC. As a result, Mr. Cannell possesses sole power to vote and direct the disposition of all securities of the Company held by the Funds. Thus, for the purposes of Reg. Section 240.13d-3, as of January 11, 2013 Mr. Cannell is deemed to beneficially own 2,512,412 Shares. Mr. Cannell's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Funds, if any. None of the Funds has a position larger than 4.0% of the shares outstanding of Multiband, Inc. |