- Initial Statement of Beneficial Ownership (3)
September 08 2010 - 7:16PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Expires:
February 28, 2011
Estimated average burden
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0.5
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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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1. Name and Address of Reporting Person
*
Ng Thomas
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/27/2010
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3. Issuer Name
and
Ticker or Trading Symbol
GLU MOBILE INC [GLUU]
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(Last)
(First)
(Middle)
C/O GGV CAPITAL, 2494 SAND HILL ROAD, SUITE 100
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
MENLO PARK, CA 94025
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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4009439
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I
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By Granite Global Ventures II L.P.
(1)
(2)
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Common Stock
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79738
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I
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By GGV II Entrepreneurs Fund L.P.
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Common Stock Warrants (right to buy)
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8/27/2010
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8/27/2015
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Common Stock
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980500
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$1.50
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I
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By Granite Global Ventures II L.P.
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Common Stock Warrants (right to buy)
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8/27/2010
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8/27/2015
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Common Stock
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19500
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$1.50
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I
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By GGV II Entrepreneurs Fund L.P.
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Explanation of Responses:
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(
1)
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The shares are owned by Granite Global Ventures II L.P. ("GGV II"), which is under common control with GGV II Entrepreneurs Fund L.P. ("GGV II Entrepreneurs"). Granite Global Ventures II L.L.C. (the "General Partner") serves as the general partner of GGV II and GGV II Entrepreneurs and possesses power to direct the voting and disposition of the shares owned by GGV II and GGV II Entrepreneurs and may be deemed to have indirect beneficial ownership of the shares held by GGV II and GGV II Entrepreneurs. The General Partner owns no securities of the Issuer directly. Messrs. Ray A. Rothrock, Anthony Sun, Scott B. Bonham, Joel D. Kellman, Hany M. Nada, Jixun Foo, Glenn Solomon, Thomas, K. Ng, and Ms. Jenny Lee are members of the investment committee of the General Partner and share voting and dispositive power over the shares held by GGV II and GGV II Entrepreneurs.
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(
2)
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Mr. Nada is a director of the Issuer and, accordingly, files separate Section 16 reports. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein.
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(
3)
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The shares are owned by GGV II Entrepreneurs. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Ng Thomas
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA 94025
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X
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Signatures
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/s/ Thomas Ng
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9/8/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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