Glu Mobile Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-03-28: Reporting owner Drapkin Matthew A; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-03-28: Reporting owner Drapkin Matthew A; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-03-27: Reporting owner Drapkin Matthew A; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-03-27: Reporting owner Drapkin Matthew A; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-03-28 | Drapkin Matthew A Director | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −163,351 692,473 owned after | $1.50 exercise price | 2013-03-28 | |
| 2013-03-28 | Drapkin Matthew A Director | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −20,189 85,587 owned after | $1.50 exercise price | 2013-03-28 | |
| 2013-03-27 | Drapkin Matthew A Director | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −222,500 855,824 owned after | $1.50 exercise price | 2013-03-28 | |
| 2013-03-27 | Drapkin Matthew A Director | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −27,500 105,776 owned after | $1.50 exercise price | 2013-03-28 | |
| 2013-03-26 | Drapkin Matthew A Director | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −256,676 1,078,324 owned after | $1.50 exercise price | 2013-03-28 | |
| 2013-03-26 | Drapkin Matthew A Director | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −31,724 133,276 owned after | $1.50 exercise price | 2013-03-28 | |
| 2011-08-08 | NEWHALL CHARLES W III | BARRETT M JAMES | KRAMLICH C RICHARD | NEW ENTERPRISE ASSOCIATES 10 L P | NEA PARTNERS 10 L P | PERRY MARK W | BARRIS PETER J | SANDELL SCOTT D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −375,000 0 owned after | $1.50 exercise price | 2011-08-09 | |
| 2011-06-06 | Nada Hany Director | 4 | Warrant Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +980,500 0 owned after | $1.50 exercise price | 2011-07-07 | |
| 2011-06-06 | Nada Hany Director | 4 | Warrant Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +19,500 0 owned after | $1.50 exercise price | 2011-07-07 | |
| 2010-09-08 holding as of filing | Ng Thomas 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By Granite Global Ventures II L.P. | Holding | $1.50 exercise price | 2010-09-08 | ||
| 2010-09-08 holding as of filing | Ng Thomas 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By GGV II Entrepreneurs Fund L.P. | Holding | $1.50 exercise price | 2010-09-08 | ||
| 2010-09-08 holding as of filing | Rothrock Ray A. | Lee Jenny | Bonham Scott | Kellman Joel D | Foo Jixun | SUN ANTHONY | Granite Global Ventures II L.L.C. | Granite Global Ventures II LP | Solomon Glenn | GGV II Entrepreneurs Fund L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By Granite Global Ventures II L.P. | Holding | $1.50 exercise price | 2010-09-08 | ||
| 2010-09-08 holding as of filing | Rothrock Ray A. | Lee Jenny | Bonham Scott | Kellman Joel D | Foo Jixun | SUN ANTHONY | Granite Global Ventures II L.L.C. | Granite Global Ventures II LP | Solomon Glenn | GGV II Entrepreneurs Fund L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By GGV II Entrepreneurs Fund L.P. | Holding | $1.50 exercise price | 2010-09-08 | ||
| 2010-09-07 holding as of filing | Becker Steven R | BECKER DRAPKIN PARTNERS, L.P. | BECKER DRAPKIN PARTNERS (QP), L.P. | BC Advisors LLC | Becker Drapkin Management, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (Right to Buy) Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-09-07 | ||
| 2010-08-27 | Nada Hany Director | 4 | Warrant Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +980,500 980,500 owned after | $1.50 exercise price | 2010-08-31 | |
| 2010-08-27 | Nada Hany Director | 4 | Warrant Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +19,500 19,500 owned after | $1.50 exercise price | 2010-08-31 | |
| 2010-08-27 | Drapkin Matthew A Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $1.50 exercise price | 2010-08-31 | |
| 2010-08-27 | Drapkin Matthew A Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +1,500,000 1,500,000 owned after | $1.50 exercise price | 2010-08-31 | |
| 2010-08-27 | NEWHALL CHARLES W III | PERRY MARK W | SANDELL SCOTT D | KRAMLICH C RICHARD | BARRIS PETER J | BARRETT M JAMES | NEW ENTERPRISE ASSOCIATES 10 L P | NEA PARTNERS 10 L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +375,000 375,000 owned after | $1.50 exercise price | 2010-08-31 | |
| 2008-03-04 | SKAFF DANIEL L Director | 4 | Warrant to Purchase Stock Derivative · Indirect · See footnote. | X Exercise of in-the-money or at-the-money derivative security | −17,567 0 owned after | $1.92 exercise price | 2008-03-05 | |
| 2008-03-03 | BARRETT M JAMES | KRAMLICH C RICHARD | NEA PARTNERS 10 L P | BARRIS PETER J | NEW ENTERPRISE ASSOCIATES 10 L P | PERRY MARK W | TRAINOR III EUGENE A | NEWHALL CHARLES W III | SANDELL SCOTT D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −52,701 0 owned after | $1.92 exercise price | 2008-03-03 | |
| 2007-04-16 | Nada Hany Director | 4 | WARRANT FOR COMMON STOCK (Right to Purchase) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −136,102 0 owned after | $0.00 | 2007-04-16 | |
| 2007-03-27 | SKAFF DANIEL L Director | 4 | Series B Warrant Derivative · Indirect · See footnote | C Conversion of derivative security | −17,567 0 owned after | $1.92 exercise price | 2007-03-28 | |
| 2007-03-27 | SKAFF DANIEL L Director | 4 | Common Stock Warrant Derivative · Indirect · See footnote | C Conversion of derivative security | +17,567 17,567 owned after | $1.92 exercise price | 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 | Common Stock Warrant (Right to Buy) Derivative · Direct | C Conversion of derivative security | +52,701 52,701 owned after | $1.92 exercise price | 2007-03-27 | |
| 2007-03-21 holding as of filing | Nada Hany Director | 3 | Warrant for Common 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 Warrant Derivative · Indirect · See footnote | Holding | $1.92 exercise price | 2007-03-21 |