SEC Form 4 · accession 0001214659-15-007326
GlassBridge Enterprises, Inc. · GLAE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
TDK CORP
10% Owner
TDK USA CORP
10% Owner
TDK Europe S.A.
10% Owner
TDK Hong Kong CO LTD
10% Owner
TDK Singapore (Pte) Ltd
10% Owner
Period of report
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 6:13 am 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 StockF1,F2 | Oct 29, 2015 | S$0 | 6,675,764 | — | D | 915,000 | D | |
| Common StockF2,F3 | Oct 29, 2015 | S$0 | 660,946 | — | D | 0 | I | Shares held by wholly owned subsidiary |
| Common StockF2,F4 | Oct 29, 2015 | S$0 | 1,941,167 | — | D | 0 | I | Shares held by wholly owned subsidiary |
| Common StockF2,F5 | Oct 29, 2015 | S$0 | 63,757 | — | D | 0 | I | Shares held by wholly owned subsidiary |
| Common StockF2,F6 | Oct 29, 2015 | S$0 | 112,504 | — | D | 0 | I | Shares held by wholly owned subsidiary |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The number shares of common stock reported in this line includes shares received via transfers from wholly owned subsidiaries prior to and in contemplation of such disposal, as detailed in the lines below.
- F2The dispositions reported herein were performed in exchange for the Issuer's performance of certain obligations, as set forth in the Agreement (the "Agreement"), dated as of September 28, 2015, by and between the Issuer and TDK Corporation ("TDK"), which was filed with the Securities and Exchange Commission on September 30, 2015 as Exhibit 4 to the Company's Amendment No. 2 to the Reporting Persons' Schedule 13D with respect to the common stock of the Issuer.
- F3The shares of common stock reported on this line were directly beneficially owned by TDK U.S.A. Corporation, a wholly owned subsidiary of TDK. TDK U.S.A. Corporation transferred such shares to TDK prior to the date reported on this line. TDK subsequently disposed of such shares to the Issuer on the date reported on this line.
- F4The shares of common stock reported on this line were directly beneficially owned by TDK Europe S.A., a wholly owned subsidiary of TDK. TDK Europe S.A. transferred such shares to TDK prior to the date reported on this line. TDK subsequently disposed of such shares to the Issuer on the date reported on this line.
- F5The shares of common stock reported on this line were directly beneficially owned by TDK Hongkong Company Limited, a wholly owned subsidiary of TDK. TDK Hongkong Company Limited transferred such shares to TDK prior to the date reported on this line. TDK subsequently disposed of such shares to the Issuer on the date reported on this line.
- F6The shares of common stock reported on this line were directly beneficially owned by TDK Singapore (Private) Limited, a wholly owned subsidiary of TDK. TDK Singapore (Private) Limited transferred such shares to TDK prior to the date reported on this line. TDK subsequently disposed of such shares to the Issuer on the date reported on this line.