Glu Mobile Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 41 rows, 41 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-03-27: Reporting owner SKAFF DANIEL L; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2007-03-27: Reporting owner SKAFF DANIEL L; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2007-03-27: Reporting owner SKAFF DANIEL L; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2007-03-27: Reporting owner SKAFF DANIEL L; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-03-27 | SKAFF DANIEL L Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −541,255 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | SKAFF DANIEL L Director | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −417,069 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | SKAFF DANIEL L Director | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −386,527 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | SKAFF DANIEL L Director | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −207,319 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | Nada Hany Director | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −814,368 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | Nada Hany Director | 4 | Special Junior Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −38,687 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | Nada Hany Director | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −16,196 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | Nada Hany Director | 4 | Junior Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −769 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | MORAN RICHARD A Director | 4 | Series D Preferred Stock Derivative · Indirect · Held by Trust | C Conversion of derivative security | −2,666 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | Wienbar Sharon L Director | 4 | Series C Preferred Stock Derivative · Indirect · By BAVP, L.P. | C Conversion of derivative security | −1,997,631 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | Wienbar Sharon L Director | 4 | Series D Preferred Stock Derivative · Indirect · By BAVP, L.P. | C Conversion of derivative security | −307,950 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | Wienbar Sharon L Director | 4 | Junior Preferred Stock Derivative · Indirect · By BAVP, L.P. | C Conversion of derivative security | −95,238 0 owned after | $0.00 | 2007-03-28 | |
| 2007-03-27 | BARRETT M JAMES | NEA PARTNERS 10 L P | PERRY MARK W | TRAINOR III EUGENE A | SANDELL SCOTT D | BARRIS PETER J | NEW ENTERPRISE ASSOCIATES 10 L P | KRAMLICH C RICHARD | NEWHALL CHARLES W III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,599,415 0 owned after | $0.00 | 2007-03-27 | |
| 2007-03-27 | BARRETT M JAMES | NEA PARTNERS 10 L P | PERRY MARK W | TRAINOR III EUGENE A | SANDELL SCOTT D | BARRIS PETER J | NEW ENTERPRISE ASSOCIATES 10 L P | KRAMLICH C RICHARD | NEWHALL CHARLES W III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,251,208 0 owned after | $0.00 | 2007-03-27 | |
| 2007-03-27 | BARRETT M JAMES | NEA PARTNERS 10 L P | PERRY MARK W | TRAINOR III EUGENE A | SANDELL SCOTT D | BARRIS PETER J | NEW ENTERPRISE ASSOCIATES 10 L P | KRAMLICH C RICHARD | NEWHALL CHARLES W III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,159,581 0 owned after | $0.00 | 2007-03-27 | |
| 2007-03-27 | BARRETT M JAMES | NEA PARTNERS 10 L P | PERRY MARK W | TRAINOR III EUGENE A | SANDELL SCOTT D | BARRIS PETER J | NEW ENTERPRISE ASSOCIATES 10 L P | KRAMLICH C RICHARD | NEWHALL CHARLES W III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −618,205 0 owned after | $0.00 | 2007-03-27 | |
| 2007-03-27 | BARRETT M JAMES | NEA PARTNERS 10 L P | PERRY MARK W | TRAINOR III EUGENE A | SANDELL SCOTT D | BARRIS PETER J | NEW ENTERPRISE ASSOCIATES 10 L P | KRAMLICH C RICHARD | NEWHALL CHARLES W III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Special Junior Preferred Derivative · Direct | C Conversion of derivative security | −113,333 0 owned after | $0.00 | 2007-03-27 | |
| 2007-03-27 | BARRETT M JAMES | NEA PARTNERS 10 L P | PERRY MARK W | TRAINOR III EUGENE A | SANDELL SCOTT D | BARRIS PETER J | NEW ENTERPRISE ASSOCIATES 10 L P | KRAMLICH C RICHARD | NEWHALL CHARLES W III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Direct | C Conversion of derivative security | −52,701 0 owned after | $1.92 exercise price | 2007-03-27 | |
| 2007-03-27 | SEAWELL A BROOKE Director | 4 | Special Junior Preferred Derivative · Direct | C Conversion of derivative security | −20,000 0 owned after | $0.00 | 2007-03-27 | |
| 2007-03-21 holding as of filing | MORAN RICHARD A Director | 3 | Series D Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | Nada Hany Director | 3 | Series D Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | Nada Hany Director | 3 | Special Junior Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | Nada Hany Director | 3 | Series D Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | Nada Hany Director | 3 | Junior Preferred Sock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | SKAFF DANIEL L Director | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | SKAFF DANIEL L Director | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | SKAFF DANIEL L Director | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | SKAFF DANIEL L Director | 3 | Series D Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | Wienbar Sharon L Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | Wienbar Sharon L Director, 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | Wienbar Sharon L Director, 10% Owner | 3 | Junior Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | NEWHALL CHARLES W III | PERRY MARK W | BARRETT M JAMES | TRAINOR III EUGENE A | SANDELL SCOTT D | KRAMLICH C RICHARD | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J | NEA PARTNERS 10 L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | NEWHALL CHARLES W III | PERRY MARK W | BARRETT M JAMES | TRAINOR III EUGENE A | SANDELL SCOTT D | KRAMLICH C RICHARD | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J | NEA PARTNERS 10 L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | NEWHALL CHARLES W III | PERRY MARK W | BARRETT M JAMES | TRAINOR III EUGENE A | SANDELL SCOTT D | KRAMLICH C RICHARD | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J | NEA PARTNERS 10 L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | NEWHALL CHARLES W III | PERRY MARK W | BARRETT M JAMES | TRAINOR III EUGENE A | SANDELL SCOTT D | KRAMLICH C RICHARD | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J | NEA PARTNERS 10 L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | NEWHALL CHARLES W III | PERRY MARK W | BARRETT M JAMES | TRAINOR III EUGENE A | SANDELL SCOTT D | KRAMLICH C RICHARD | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J | NEA PARTNERS 10 L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Direct | Holding | $1.92 exercise price | 2007-03-21 | ||
| 2007-03-21 holding as of filing | NEWHALL CHARLES W III | PERRY MARK W | BARRETT M JAMES | TRAINOR III EUGENE A | SANDELL SCOTT D | KRAMLICH C RICHARD | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J | NEA PARTNERS 10 L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Special Junior Preferred Derivative · Direct | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | SEAWELL A BROOKE Director | 3 | Special Junior Preferred Derivative · Direct | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | BA Venture Partners VI, LLC | BAVP, L.P. 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | BA Venture Partners VI, LLC | BAVP, L.P. 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-03-21 | ||
| 2007-03-21 holding as of filing | BA Venture Partners VI, LLC | BAVP, L.P. 10% Owner | 10% Owner | 3 | Junior Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-03-21 |