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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 | ||||||||
WARRANT FOR COMMON STOCK (Right to Purchase) | $ 0.0003 | 04/16/2007 | X | 136,102 (3) | (4) | 04/26/2007 | COMMON STOCK | 136,102 | $ 0 | 0 | I | See footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nada Hany C/O GLU MOBILE INC. 1800 GATEWAY DRIVE, SECOND FLOOR SAN MATEO, CA 94404 |
X |
/s/ Hany Nada by Kevin Chou, Attorney-in-Fact | 04/16/2007 | |
**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) | Represents shares and warrants held by Granite Global Ventures II L.P. ("Granite Global"). Mr. Nada is a managing director of the general partner of Granite Global. Mr. Nada disclaims beneficial ownership of these shares except to the extent of his individual pecuniary interest therein. |
(2) | Represents shares held by GGV II Entrepreneurs Fund L.P. ("GGV"). Mr. Nada is a managing director of the general partner of GGV. Mr. Nada disclaims beneficial ownership of these shares except to the extent of his individual pecuniary interest therein. |
(3) | On April 16, 2007, Granite Global exercised its warrant to purchase 136,102 shares of Common Stock at a price of $0.0003 per share; Granite Global elected to have 133,448 shares of Common Stock registered in the name of Granite Global and elected to have the remaining 2,654 shares of Common Stock registered in the name of GGV, which constituted a transfer of indirect beneficial ownership from one form to another without any change in Mr. Nada's pecuniary interest therein. |
(4) | Warrant was exercisable upon issuance and expires 30 days following the consummation of the Issuer's Initial Public Offering, or April 26, 2007. |