FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/15/2006 |
3. Issuer Name and Ticker or Trading Symbol
ROO GROUP INC [ RGRP ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.0001 par value | 3,243,243 | I(1)(2) | See Footnotes(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants | 11/15/2006 | 11/14/2011 | Common Stock | 972,973 | $3 | I(1)(2) | See Footnotes(4) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Tudor Investment Corporation ("TIC") is the investment adviser or trading advisor to each of The Tudor BVI Global Portfolio Ltd. ("BVI") and Witches Rock Portfolio Ltd. ("Witches Rock") and is an affiliate of Tudor Proprietary Trading, L.L.C. ("TPT"). TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such securities. |
2. The Common Stock (the "Shares) and warrants to purchase Common Stock (the "Warrants") are reported herein as indirectly beneficially owned by Paul Tudor Jones II and certain of the Shares and Warrants are owned indirectly by TIC (see Footnote 1). The Shares and Warrants are owned directly by BVI, Witches Rock, and TPT (see Footnotes 3 and 4). Because Mr. Jones is the controlling shareholder of TIC and the indirect controlling equity holder of TPT, Mr. Jones may be deemed to beneficially own the Shares and Warrants deemed beneficially owned by each of such entities. Mr. Jones expressly disclaims such beneficial ownership. |
3. The shares of Common Stock reported herein as indirectly beneficially owned are directly beneficially owned by BVI, Witches Rock, and TPT. BVI, Witches Rock, and TPT own 419,815, 2,597,374, and 226,054 shares of Common Stock, respectively. |
4. The warrants to purchase Common Stock reported herein as indirectly beneficially owned are directly beneficially owned by BVI, Witches Rock, and TPT. BVI, Witches Rock, and TPT own 125,945, 779,212, and 67,816 warrants to purchase Common Stock, respectively. |
Tudor Investment Corporation, by Stephen N. Waldman, Managing Director | 11/17/2006 | |
Paul Tudor Jones II | 11/17/2006 | |
** 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 5 (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 Number. |