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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 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
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Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person
*
Stephens Investment Management, LLC |
2. Issuer Name
and
Ticker or Trading Symbol
GLU MOBILE INC [ GLUU ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
ONE FERRY BUILDING, SUITE 255 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
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SAN FRANCISCO, CA 94111 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 3/16/2009 | S | 25900 | D | $.5494 | 3234242 | I | See Footnotes (1) (2) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: | |
( 1) | These securities reported on this Form 4 are held directly by certain investment limited partnerships (the "Partnerships") for which Stephens Investment Management, LLC ("SIM") is the general partner and investment manager. None of the Partnerships is itself the beneficial owner of more than 10% of the issuer's common stock. Paul H. Stephens, P. Bartlett Stephens and W. Bradford Stephens are each managing members and owners of SIM and each also holds limited partnership interests in certain of the Partnerships . Each of SIM, Paul H. Stephens, P. Bartlett Stephens, W. Bradford Stephens and the Partnerships expressly disclaims beneficial ownership in these securities, except to the extent of their respective pecuniary interests therein. |
( 2) | Although none of the Partnerships is itself the beneficial owner of more than 10% of the issuer's common stock, SIM and the other reporting persons may be deemed to beneficially own the securities owned by the Partnerships insofar as they may be deemed to have the power to direct the voting or disposition of such securities. The reporting persons have elected therefore to file this Form 4 to report transactions by the Partnerships on an aggregate basis. The filing of this Form 4 should not, however, be deemed an admission by any of the reporting persons that the reporting persons and/or the Partnerships form a group within the meaning of Rule 13d-5(b)(1) and Rule 16a-1(a)(1). |
Reporting Owners
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Reporting Owner Name / Address |
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||||
Director | 10% Owner | Officer | Other | ||
Stephens Investment Management, LLC
ONE FERRY BUILDING SUITE 255 SAN FRANCISCO, CA 94111 |
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X |
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STEPHENS PAUL HARBOUR
ONE FERRY BUILDING SUITE 255 SAN FRANCISCO, CA 94111 |
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See footnotes 1 and 2 | |
STEPHENS PAUL BARTLETT
ONE FERRY BUILDING SUITE 255 SAN FRANCISCO, CA 94111 |
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See footnotes 1 and 2 | |
STEPHENS WILLIAM BRADFORD
ONE FERRY BUILDING SUITE 255 SAN FRANCISCO, CA 94111 |
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See footnotes 1 and 2 |
Signatures
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Stephens Investment Management, LLC; By: W. Bradford Stephens, its Managing Member; /s/ W. Bradford Stephens | 3/18/2009 | |
** Signature of Reporting Person |
Date
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Paul H. Stephens; /s/ Paul H. Stephens | 3/18/2009 | |
** Signature of Reporting Person |
Date
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P. Bartlett Stephens; /s/ P. Bartlett Stephens | 3/18/2009 | |
** Signature of Reporting Person |
Date
|
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W. Bradford Stephens; /s/ W. Bradford Stephens | 3/18/2009 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
1 Year Glu Mobile Chart |
1 Month Glu Mobile Chart |
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