SEC Form 3 · accession 0001144204-16-099586
GlassBridge Enterprises, Inc. · GLAE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geoff Barrall
Officer — Chief Technology Officer
Period of report
Apr 29, 2016
Accepted (ET)
May 6, 2016 · 4:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001014111
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 46,496 | D | ||
| Common StockF1 | holding | — | — | — | 56,804 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $1.40 | holding | — | — | — | — | Dec 7, 2025 | Common Stock | 300,000 | — | D |
Explanation of responses
- F1Pursuant to restricted stock units which are expected to vest in eight equal monthly installments beginning on May 31, 2016.
- F2Options are expected to vest in 36 equal monthly installments beginning on 01/07/2016, of which 33,333 options have vested as of 05/06/2016.