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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Glu Mobile Inc | NASDAQ:GLUU | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 12.50 | 13.00 | 12.50 | 0 | 01:00:00 |
Delaware | 91-2143667 | |
(State or Other Jurisdiction of | (I.R.S. Employer | |
Incorporation or Organization) | Identification No.) |
Scott J. Leichtner, Esq.
Vice President and General Counsel Glu Mobile Inc. 45 Fremont Street, Suite 2800 San Francisco, California 94105 |
David A. Bell, Esq.
Fenwick & West LLP Silicon Valley Center 801 California Street Mountain View, CA 94041 |
Large accelerated filer o | Accelerated filer o | Non-accelerated filer þ | Smaller reporting company o | |||
(Do not check if a smaller reporting company) |
Proposed maximum | Proposed maximum | Amount of | ||||||||||||||||||||
Title of each class of securities | Amount to be | offering price | aggregate offering | registration | ||||||||||||||||||
to be registered | Registered (1) | per unit | price | fee | ||||||||||||||||||
Common Stock, $0.0001 par value
|
1,337,531 | (2) | $ | 3.27 | (4) | $ | 4,373,727 | $ | 507.79 | |||||||||||||
Common Stock, $0.0001 par value
|
445,844 | (3) | $ | 2.78 | (5) | $ | 1,239,447 | $ | 143.90 | |||||||||||||
Total
|
1,783,375 | $ | 5,613,174 | $ | 651.69 | |||||||||||||||||
(1) | Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the Securities Act ), this Registration Statement shall also cover any additional shares of the Registrants common stock that become issuable under the 2007 Equity Incentive Plan and the 2007 Employee Stock Purchase Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the receipt of consideration that increases the number of the Registrants outstanding shares of common stock. | |
(2) | Represents an automatic increase in the number of shares available for issuance under the 2007 Equity Incentive Plan equal to 3% of 44,584,379 shares, the total outstanding shares of the Registrant as of December 31, 2010. This automatic increase was effective as of January 1, 2011. | |
(3) | Represents an automatic increase in the number of shares available for issuance under the 2007 Employee Stock Purchase Plan equal to 1% of 44,584,379 shares, the total outstanding shares of the Registrant as of December 31, 2010. This automatic increase was effective as of January 1, 2011. | |
(4) | Estimated solely for the purpose of calculating the registration fee in accordance with Rules 457(c) and 457(h) under the Securities Act of 1933, and based upon the average of the high and low sales prices of the Registrants common stock as reported by the NASDAQ Global Market on March 15, 2011. | |
(5) | Estimated solely for the purpose of calculating the registration fee in accordance with Rules 457(c) and 457(h) under the Securities Act of 1933, based upon 85% of the average of the high and low sales prices of the Registrants common stock as reported by the NASDAQ Global Market on March 15, 2011. Pursuant to the 2007 Employee Stock Purchase Plan, the purchase price of a share is 85% of the fair market value of the Registrants common stock. |
PART II | ||||||||
Item 8. Exhibits | ||||||||
SIGNATURES | ||||||||
EXHIBIT INDEX | ||||||||
EX-5.01 | ||||||||
EX-23.02 |
I-1
Number | Exhibit Title | |||
4.01 |
Form of Restated Certificate of Incorporation of the Registrant (Incorporated
herein by reference to Exhibit 3.02 of the Registrants Registration Statement on
Form S-1 (Registration No. 333-139493) filed with the Commission on December 19,
2006 (the
Form S-1
)).
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4.02 |
Form of Amended and Restated Bylaws of the Registrant (Incorporated herein by
reference to Exhibit 99.01 of the Registrants Current Report on Form 8-K filed
with the Commission on October 28, 2008).
|
|||
|
||||
4.03 |
2007 Equity Incentive Plan, as amended (Incorporated herein by reference to Exhibit
10.03 of the Registrants Quarterly Report on Form 10-Q for the quarter ended June
30, 2010 filed with the Commission on August 9, 2010).
|
|||
|
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4.04 |
For the 2007 Equity Incentive Plan, forms of (a) Notice of Stock Option Grant,
Stock Option Award Agreement and Stock Option Exercise Agreement, (b) Notice of
Restricted Stock Award and Restricted Stock Agreement, (c) Notice of Stock
Appreciation Right Award and Stock Appreciation Right Award Agreement, (d) Notice
of Restricted Stock Unit Award and Restricted Stock Unit Agreement and (e) Notice
of Stock Bonus Award and Stock Bonus Agreement (Incorporated herein by reference to
Exhibit 10.03 of the Form S-1).
|
|||
|
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4.05 |
2007 Employee Stock Purchase Plan, as amended and restated on July 1, 2009
(Incorporated herein by reference to Exhibit 10.01 of the Registrants Quarterly
Report on Form 10-Q for the quarter ended September 30, 2009 filed with the
Commission on November 9, 2009).
|
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|
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5.01 |
Opinion of Scott J. Leichtner, General Counsel to Registrant.
|
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23.01 |
Consent of Scott J. Leichtner (included in Exhibit 5.01).
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23.02 |
Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm
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24.01 |
Power of Attorney (see page II-1 of this Registration Statement).
|
GLU MOBILE INC. |
||||
By: | /s/ Niccolo M. de Masi | |||
Niccolo M. de Masi | ||||
President and Chief Executive Officer | ||||
Signature | Title | Date | ||
|
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Principal Executive Officer:
|
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|
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/s/ Niccolo M. de Masi
|
President, Chief Executive Officer and Director | March 21, 2011 | ||
|
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Niccolo M. de Masi
|
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Principal Financial and
Accounting Officer:
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/s/ Eric R. Ludwig
|
Senior Vice President and Chief Financial Officer | March 21, 2011 | ||
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Eric R. Ludwig
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Additional Directors:
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/s/ William J. Miller
|
Chairman of the Board | March 21, 2011 | ||
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William J. Miller
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/s/ Matthew A. Drapkin
|
Director | March 21, 2011 | ||
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Matthew A. Drapkin
|
Signature | Title | Date | ||
/s/ Ann Mather
|
Director | March 21, 2011 | ||
|
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Ann Mather
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/s/ Hany M. Nada
|
Director | March 21, 2011 | ||
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Hany M. Nada
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/s/ A. Brooke Seawell
|
Director | March 21, 2011 | ||
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A. Brooke Seawell
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/s/ Ellen Siminoff
|
Director | March 21, 2011 | ||
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Ellen Siminoff
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/s/ Benjamin T. Smith, IV
|
Director | March 21, 2011 | ||
|
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Benjamin T. Smith, IV
|
Number | Exhibit Title | |||
4.01 |
Form of Restated Certificate of Incorporation of the Registrant (Incorporated
herein by reference to Exhibit 3.02 of the Form S-1).
|
|||
|
||||
4.02 |
Form of Amended and Restated Bylaws of the Registrant (Incorporated herein by
reference to Exhibit 99.01 of the Registrants Current Report on Form 8-K filed
with the Commission on October 28, 2008).
|
|||
|
||||
4.03 |
2007 Equity Incentive Plan, as amended (Incorporated herein by reference to Exhibit
10.03 of the Registrants Quarterly Report on Form 10-Q for the quarter ended June
30, 2010 filed with the Commission on August 9, 2010).
|
|||
|
||||
4.04 |
For the 2007 Equity Incentive Plan, forms of (a) Notice of Stock Option Grant,
Stock Option Award Agreement and Stock Option Exercise Agreement, (b) Notice of
Restricted Stock Award and Restricted Stock Agreement, (c) Notice of Stock
Appreciation Right Award and Stock Appreciation Right Award Agreement, (d) Notice
of Restricted Stock Unit Award and Restricted Stock Unit Agreement and (e) Notice
of Stock Bonus Award and Stock Bonus Agreement (Incorporated herein by reference to
Exhibit 10.03 of the Form S-1).
|
|||
|
||||
4.05 |
2007 Employee Stock Purchase Plan, as amended and restated on July 1, 2009
(Incorporated herein by reference to Exhibit 10.01 of the Registrants Quarterly
Report on Form 10-Q for the quarter ended September 30, 2009 filed with the
Commission on November 9, 2009).
|
|||
|
||||
5.01 |
Opinion of Scott J. Leichtner, General Counsel to Registrant.
|
|||
|
||||
23.01 |
Consent of Scott J. Leichtner (included in Exhibit 5.01).
|
|||
|
||||
23.02 |
Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm
|
|||
|
||||
24.01 |
Power of Attorney (see page II-1 of this Registration Statement).
|
1 Year Glu Mobile Chart |
1 Month Glu Mobile Chart |
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