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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 | ||||||||
Series A Preferred Stock | (1) | 03/27/2007 | C | 541,255 | (1) | (1) | Common Stock | 541,255 | $ 0 (1) | 0 | I | See footnote (2) | |||
Series B Preferred Stock | (1) | 03/27/2007 | C | 417,069 | (1) | (1) | Common Stock | 417,069 | $ 0 (1) | 0 | I | See footnote (2) | |||
Series C Preferred Stock | (1) | 03/27/2007 | C | 386,527 | (1) | (1) | Common Stock | 386,527 | $ 0 (1) | 0 | I | See footnote (2) | |||
Series D Preferred Stock | (1) | 03/27/2007 | C | 207,319 | (1) | (1) | Common Stock | 207,319 | $ 0 (1) | 0 | I | See footnote (2) | |||
Series B Warrant | $ 1.92 (3) | 03/27/2007 | C | 17,567 | (3) | (3) | Common Stock | 17,567 | $ 0 (3) | 0 | I | See footnote (2) | |||
Common Stock Warrant | $ 1.92 (3) | 03/27/2007 | C | 17,567 | (3) | (3) | Common Stock | 17,567 | $ 0 (3) | 17,567 | I | See footnote (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SKAFF DANIEL L GLU MOBILE INC. 1800 GATEWAY DRIVE, SECOND FLOOR SAN MATEO, CA 94404 |
X |
/s/ Daniel L. Skaff by Kevin Chou, Attorney-in-Fact | 03/28/2007 | |
**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) | Each share of Preferred Stock converted into one share of Common Stock upon the closing of the Issuer's initial public offering. |
(2) | The shares are held by Sienna Limited Partnership III, L.P. Mr. Skaff is the Managing Member of Sienna Associates III, L.L.C., the general partner of Sienna Limited Partnership III, L.P. Mr. Skaff shares voting and dispositive power over these shares and disclaims beneficial ownership of these shares except to the extent of his individual pecuniary interest in this entity. |
(3) | Warrant to purchase shares of Series B Preferred Stock converted into a warrant to purchase an equal number of shares of Common Stock upon the closing of the Issuer's initial public offering. |