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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 | $ 1.5 (4) | 08/27/2010 | P | 980,500 (4) (5) | 08/27/2010 | 08/27/2015 | Common Stock | 980,500 (4) (5) | $ 0 | 980,500 (4) (5) | I | See footnote (2) | |||
| Warrant | $ 1.5 (4) | 08/27/2010 | P | 19,500 (4) (6) | 08/27/2010 | 08/27/2015 | Common Stock | 19,500 (4) (6) | $ 0 | 19,500 (4) (6) | I | See footnote (3) | |||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Nada Hany C/O GLU MOBILE INC. 2207 BRIDGEPOINTE PARKWAY, SUITE 300 SAN MATEO, CA 94404 |
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| /s/ Hany M. Nada by Kevin S. Chou, Attorney-in-Fact | 08/31/2010 | |
| **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 purchased in a private placement transaction (the "Private Placement") in which Glu Mobile Inc. ("Glu") sold an aggregate of 13,495,000 shares of common stock at a price of $1.00 per share and warrants initially exercisable for up to an aggregate of 6,747,500 shares of common stock at an exercise price of $1.50 per share. |
| (2) | Represents shares held by Granite Global Ventures II L.P. ("Granite Global"). Mr. Nada is a managing director of the general partner of Granite Global, which has seven individual managing directors, and shares voting and investment power with respect to the shares held by these entities with the other managing directors of the general partner. Mr. Nada disclaims beneficial ownership of these shares except to the extent of his individual pecuniary interest in this entity. |
| (3) | Represents shares held by GGV II Entrepreneurs Fund L.P. ("GGV"). Mr. Nada is a managing director of the general partner of GGV, which has seven individual managing directors, and shares voting and investment power with respect to the shares held by this entity with the other managing directors of the general partner. Mr. Nada disclaims beneficial ownership of these shares except to the extent of his individual pecuniary interest in this entity. |
| (4) | The warrants provide for weighted-average anti-dilution protection in the event that Glu issues or is deemed to have issued additional shares of common stock at a price per share below the then-current exercise price of the warrants. The exercise price of the warrants and the number of shares of common stock issuable upon exercise of the warrants are also subject to proportional adjustment for stock splits, reverse stock splits, stock dividends or other reclassifications or combinations of Glu's common stock. |
| (5) | Represents a warrant initially exercisable for up to 980,500 shares received by Granite Global in the Private Placement. Mr. Nada disclaims beneficial ownership in the shares of common stock underlying such warrant, except to the extent of his pecuniary interest therein. |
| (6) | Represents a warrant initially exercisable for up to 19,500 shares received by GGV in the Private Placement. Mr. Nada disclaims beneficial ownership in the shares of common stock underlying such warrant, except to the extent of his pecuniary interest therein. |