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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to GlassBridge Enterprises, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| June 25, 2025 |
Glassbridge Enterprises, Inc. 551 Madison Avenue, Suite 800 New York, New York 10022 Exhibit 10.1 Glassbridge Enterprises, Inc. 551 Madison Avenue, Suite 800 New York, New York 10022 June 19, 2025 Alex Spiro Re: Promissory Note (Revolver) (as the same may be amended or modified from time to time, “Note”), dated as of July 16, 2024, by Glassbridge Enterprises, Inc., a Delaware corporation (“Maker”), for the benefit of Alex Spiro (“Payee”) Alex: Reference is made to the Note. Capita |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): June 19, 2025 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of In |
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| June 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): June 11, 2025 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of In |
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| May 30, 2025 |
Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): May 23, 2025 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of Inc |
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| March 10, 2025 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): February 20, 2025 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction o |
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| March 10, 2025 |
Exhibit 16.1 |
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| November 26, 2024 |
FIRST AMENDMENT TO 382 RIGHTS AGREEMENT Exhibit 4.2 FIRST AMENDMENT TO 382 RIGHTS AGREEMENT This First Amendment, dated as of November 25, 2024 (this “Amendment”), to the 382 RIGHTS AGREEMENT, dated as of December 1, 2021 (the “Agreement”), is made between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Equiniti Trust Company, LLC, a financial services company (the “Rights Agent”). Capitalized terms not otherw |
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| November 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): November 25, 2024 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction o |
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| November 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A/A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 41-1838504 (State of incorporation or organization) (I.R.S. Employer Identification No.) 411 E 57th |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-14310 NOTIFICATION OF LATE FILING CUSIP NUMBER 377185 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Trans |
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| September 6, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): August 30, 2024 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-14310 NOTIFICATION OF LATE FILING CUSIP NUMBER 377185 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition |
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| July 22, 2024 |
Exhibit 10.7 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of July 22, 2024 between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Robert Torricelli (“Indemnitee”). All capitalized terms used but not otherwise defined herein have the meanings ascribed to them in Section 13. WITNESSETH THAT: WHEREAS, highly compete |
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| July 22, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): July 16, 2024 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of In |
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| July 22, 2024 |
Exhibit 10.6 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of July 22, 2024 between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Daniel Strauss (“Indemnitee”). All capitalized terms used but not otherwise defined herein have the meanings ascribed to them in Section 13. WITNESSETH THAT: WHEREAS, highly competent |
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| July 22, 2024 |
Exhibit 10.1 [Pursuant to Item 601(a)(5) of Regulation S-K, certain schedules and attachments to this exhibit have been omitted. A copy of any omitted schedule or exhibit will be furnished supplementally to the SEC upon request.] Securities Purchase Agreement By and between Glassbridge Enterprises, Inc. And Alex Spiro Table of Contents Article I. Definitions and Interpretation 1 Section 1.01 Defin |
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| July 22, 2024 |
Exhibit 10.2 PROMISSORY NOTE (REVOLVER) $10,000,000.00 July 16, 2024 FOR VALUE RECEIVED, GLASSBRIDGE ENTERPRISES, INC., a Delaware corporation (“Maker”), hereby promises to pay to ALEX SPIRO, an individual (together with his successors and assigns, “Payee”), an aggregate principal amount of up to TEN MILLION AND 00/100 DOLLARS ($10,000,000.00), or, if less, the aggregate outstanding principal amou |
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| July 22, 2024 |
GLASSBRIDGE ENTERPRISES, INC. SERIES 1 RESTRICTED STOCK UNIT AGREEMENT Exhibit 10.4 GLASSBRIDGE ENTERPRISES, INC. SERIES 1 RESTRICTED STOCK UNIT AGREEMENT This Series 1 Restricted Stock Unit Award Agreement (“Agreement”) is made and entered into as of July 16, 2024 (the “Grant Date”), by and between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Alex Spiro (the “Awardee”). WITNESSETH: WHEREAS, the Company and Awardee are parties to that ce |
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| July 22, 2024 |
Exhibit 10.5 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of July 16, 2024 between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Alex Spiro (“Indemnitee”). All capitalized terms used but not otherwise defined herein have the meanings ascribed to them in Section 13. WITNESSETH THAT: WHEREAS, highly competent pers |
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| July 22, 2024 |
FORM OF COMMON STOCK PURCHASE WARRANT GLASSBRIDGE ENTERPRISES, INC. Exhibit 10.3 THIS WARRANT AND THE SECURITIES REPRESENTED BY THIS STATEMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR THE SECURITIES LAWS OF ANY STATE OR OTHER JURISDICTION. THE SECURITIES MAY NOT BE OFFERED, SOLD, PLEDGED, OR OTHERWISE TRANSFERRED EXCEPT (1) PURSUANT TO AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OR (2) PURSUANT TO |
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| June 5, 2024 |
WESTERN ALLIANCE BANK LOAN AND SECURITY AGREEMENT Exhibit 10.1 [Pursuant to Item 601(a)(5) of Regulation S-K, certain schedules and attachments to this exhibit have been omitted. A copy of any omitted schedule or exhibit will be furnished supplementally to the SEC upon request.] WESTERN ALLIANCE BANK LOAN AND SECURITY AGREEMENT This LOAN AND SECURITY AGREEMENT (this “Agreement”) is made and entered into effective May 30, 2024 (the “Effective Date |
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| June 5, 2024 |
PASS-THROUGH LEVERAGE AGREEMENT Exhibit 10.2 EXECUTION COPY PASS-THROUGH LEVERAGE AGREEMENT This PASS-THROUGH LEVERAGE AGREEMENT (this “Agreement”), dated and effective as of May 30, 2024 (the “Effective Date”), is entered into by and between GLASSBRIDGE ENTERPRISES, INC., a Delaware corporation (together with its successors and assigns collectively, the “Responsible Party”), GREENWAY MORTGAGE FUNDING CORP., a New Jersey corpora |
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| June 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): May 30, 2024 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of Inc |
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| June 5, 2024 |
LIMITED GUARANTY, PLEDGE AND SECURITY AGREEMENT Exhibit 10.3 LIMITED GUARANTY, PLEDGE AND SECURITY AGREEMENT THIS LIMITED GUARANTY AND PLEDGE AGREEMENT (“Guaranty Agreement”) is made as of May 30, 2024 by GLASSBRIDGE ENTERPRISES INC., a Delaware corporation (the “Guarantor”), whose address is set forth below, in favor of WESTERN ALLIANCE BANK, an Arizona corporation (“Bank”), whose address is set forth below. recitals A. Greenway Mortgage Fundi |
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| May 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-14310 NOTIFICATION OF LATE FILING CUSIP NUMBER 377185 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transitio |
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| May 15, 2024 |
Exhibit 10.1 Execution Version LOAN AND SECURITY AGREEMENT GB HEI, LLC, as Borrower, GB HRP, LLC, as Investment Manager, EAST WEST BANK, as Agent and a Lender and THE OTHER LENDERS PARTY HERETO Dated: May 9, 2024 TABLE OF CONTENTS Page 1. DEFINITIONS 1 2. LOAN. 37 2.1 AMOUNT OF LOAN. 37 2.2 INTEREST RATE. 38 2.3 PAYMENT DUE AT MATURITY. 40 2.4 MANNER OF PAYMENT. 40 2.5 MANDATORY PAYMENTS. 42 2.6 V |
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| May 15, 2024 |
Exhibit 10.2 PLEDGE AGREEMENT THIS PLEDGE AGREEMENT (as may be amended, restated, supplemented, or otherwise modified from time to time, this “Agreement”) dated as of May 9, 2024, is executed by each of GB HRP, LLC (the “Pledgor”), in favor of EAST WEST BANK, a California banking corporation (“East West”), as administrative, payment and collateral agent (together with its successors and permitted |
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| May 15, 2024 |
Exhibit 10.3 Executed Version [Pursuant to Item 601(a)(5) of Regulation S-K, certain schedules and attachments to this exhibit have been omitted. A copy of any omitted schedule or exhibit will be furnished supplementally to the SEC upon request.] SALE, CONTRIBUTION AND TRANSFER AGREEMENT between GB HRP, LLC, as the Transferor and GB HEI, LLC, as the Transferee Dated as of May 9, 2024 TABLE OF CONT |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): May 9, 2024 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of Inco |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-14310 NOTIFICATION OF LATE FILING CUSIP NUMBER (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Re |
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| February 15, 2024 |
GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN INCENTIVE STOCK OPTION AGREEMENT Exhibit 10.8 GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN INCENTIVE STOCK OPTION AGREEMENT THIS AGREEMENT made as of , 2023 [insert date on which Committee approves Option grant] (the “Grant Date”), by and between GlassBridge Enterprises, Inc. (the “Company”), and (the “Optionee”). WITNESSETH: WHEREAS, the Company has adopted and maintains the GlassBridge Enterprises, Inc. Equity Incen |
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| February 15, 2024 |
GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit 10.9 GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN NON-QUALIFIED STOCK OPTION AGREEMENT THIS AGREEMENT made as of , [insert date on which Committee approves Option grant] (the “Grant Date”), by and between GlassBridge Enterprises, Inc. (the “Company”), and (the “Optionee”). WITNESSETH: WHEREAS, the Company has adopted and maintains the GlassBridge Enterprises, Inc. Equity Incent |
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| February 15, 2024 |
GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT Exhibit 10.7 GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT THIS AGREEMENT made as of , [insert date on which Committee approves the Restricted Stock Unit grants] (the “Grant Date”), by and between GlassBridge Enterprises, Inc. (the “Company”), and Daniel Strauss (the “Awardee”). WITNESSETH: WHEREAS, the Company has adopted and maintains the GlassBridge En |
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| February 15, 2024 |
FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT Exhibit 10.5 Execution Copy FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT First Amendment to Stock Purchase Agreement dated as of February 13, 2024 (this “Amendment”), by and between GlassBridge Enterprises, Inc., a Delaware corporation (“Company”), and Tacora Capital, LP, a Delaware limited partnership (“Buyer”). All capitalized terms used but not otherwise defined herein have the meanings set fort |
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| February 15, 2024 |
GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN RESTRICTED STOCK AGREEMENT Exhibit 10.11 GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN RESTRICTED STOCK AGREEMENT THIS AGREEMENT made as of , 2023 [insert date on which Committee approves the Restricted Stock grant] (the “Grant Date”), by and between GlassBridge Enterprises, Inc. (the “Company”), and (the “Awardee”). WITNESSETH: WHEREAS, the Company has adopted and maintains the GlassBridge Enterprises, Inc. 2023 |
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| February 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): February 9, 2024 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of |
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| February 15, 2024 |
GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN STOCK APPRECIATION RIGHT AGREEMENT Exhibit 10.10 GLASSBRIDGE ENTERPRISES, INC. 2023 EQUITY INCENTIVE PLAN STOCK APPRECIATION RIGHT AGREEMENT THIS AGREEMENT made as of , 2023 [insert date on which Committee approves SAR grant] (the “Grant Date”), by and between GlassBridge Enterprises, Inc. (the “Company”), and (the “Awardee”). WITNESSETH: WHEREAS, the Company has adopted and maintains the GlassBridge Enterprises, Inc. 2023 Equity I |
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| February 15, 2024 |
Exhibit 10.2 Loan and Security Agreement THIS LOAN AND SECURITY AGREEMENT (the “Agreement”), is entered into as of February 9, 2024, between GB HRP, LLC, a Delaware limited liability company (the “Borrower”), with an address at 18 East 50th Street, New York, NY 10022, and POINT DIGITAL FINANCE, INC. a Delaware corporation (the “Lender”), with an address at 635 High Street, Palo Alto, CA 94301. The |
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| February 15, 2024 |
Exhibit 10.3 Revolving Line of Credit Note $10,000,000.00 February 9, 2024 FOR VALUE RECEIVED, GB HRP, LLC, a Delaware limited liability company (the “Borrower”), with an address at 18 East 50th Street, New York, NY 10022, promises to pay to the order of POINT DIGITAL FINANCE, INC., a Delaware corporation (the “Lender”), in lawful money of the United States of America in immediately available fund |
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| February 15, 2024 |
GLASSBRIDGE ENTERPRISES, INC. AMENDED AND RESTATED EQUITY INCENTIVE PLAN Article I Exhibit 10.6 GLASSBRIDGE ENTERPRISES, INC. AMENDED AND RESTATED EQUITY INCENTIVE PLAN Article I PURPOSE The purpose of this GlassBridge Enterprises, Inc. Amended and Restated Equity Incentive Plan (the “Plan”) is to benefit GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”) and its stockholders, by assisting the Company and its subsidiaries to attract, retain and provide incenti |
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| January 5, 2024 |
Exhibit 10.4 CUSTODIAL AGREEMENT GB HRP, LLC, Buyer Agent, Point Titling Trust, Titling Trust, Point Digital Finance, Inc., Trust Manager and U.S. BANK NATIONAL ASSOCIATION Custodian Dated December 29, 2023 TABLE OF CONTENTS Page Section 1. Certain Definitions 1 Section 2. Appointment of the Custodian 5 Section 3. Delivery of Mortgage Files 5 Section 4. Custodian’s Acceptance of Mortgage Files 6 S |
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| January 5, 2024 |
Exhibit 10.5 EXECUTION COPY POINT DIGITAL FINANCE, INC., as Transferor, and GB HRP, LLC, as Transferee SUBI CERTIFICATE TRANSFER AGREEMENT Dated as of December 29, 2023 TABLE OF CONTENTS Page ARTICLE One DEFINITIONS 1 Section 1.01. Definitions 1 Section 1.02. Interpretive Provisions 2 ARTICLE Two TRANSFER OF THE INVESTOR SUBI CERTIFICATE 2 Section 2.01. Transfer of the Investor SUBI Certificate 2 |
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| January 5, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): December 29, 2023 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction o |
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| January 5, 2024 |
Exhibit 10.1 [Exhibits and schedules to this Exhibit have been omitted pursuant to Regulation S-K Item 601(a)(5). The Registrant agrees to furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request.] EXECUTION COPY PROGRAM AGREEMENT Dated as of December 29, 2023 among POINT DIGITAL FINANCE, INC., as Seller and Servicer, POINT TITLING TRUST, and GB HRP, LLC, as Buyer A |
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| January 5, 2024 |
Exhibit 10.2 EXECUTION COPY MASTER OPTION SALE AGREEMENT This MASTER OPTION SALE AGREEMENT (this “Agreement”), is made effective as of December 29, 2023 (the “Effective Date”), by and among POINT DIGITAL FINANCE, INC., a Delaware corporation (“Point”), as seller, together with certain affiliates and designated assignees of Point as seller (collectively with Point, in such capacity, “Seller”), and |
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| January 5, 2024 |
Exhibit 10.3 EXECUTION COPY MASTER OPTION SERVICING AGREEMENT THIS MASTER OPTION SERVICING AGREEMENT (this “Agreement”) is made this 29th day of December, 2023, by and between POINT DIGITAL FINANCE, INC., a Delaware corporation (“Point”), as servicer (in such capacity, “Servicer”) and as trust manager (in such capacity, “Trust Manager”) of POINT TITLING TRUST, a Delaware statutory trust, as the ti |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERP |
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| November 14, 2023 |
Reference Spread Payment Agreement Exhibit 10.1 REFERENCE SPREAD PAYMENT AGREEMENT by and between Greenway Mortgage Holding Corp. (Payor) and GLASSBRIDGE ENTERPRISES, INC. (Payee) Dated and effective as of September 29, 2023 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS; GENERAL INTERPRETIVE PRINCIPLES 1 Section 1.01. Definitions. 1 Section 1.02. General Interpretive Principles. 12 ARTICLE II PROCEDURES; ITEMS TO BE DELIVERED 13 Sec |
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| October 5, 2023 |
GLAE / GlassBridge Enterprises Inc / Tacora Capital LP - SCHEDULE 13D Activist Investment SC 13D 1 tcl20231005sc13d.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 GLASSBRIDGE ENTERPRISES, INC. (Name of Issuer) Common Stock Series B Preferred Stock (Title of Class of Securities) 377185202 (CUSIP Number) TACORA CAPITAL, LP Attention: Keri Findley 2505 Pecos Street Austin, Texas 78703 Tel: 310 |
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| September 29, 2023 |
GlassBridge Enterprises, Inc. Equity Incentive Plan Exhibit 10.7 GLASSBRIDGE ENTERPRISES, INC. EQUITY INCENTIVE PLAN Article I PURPOSE The purpose of this GlassBridge Enterprises, Inc. Equity Incentive Plan (the “Plan”) is to benefit GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”) and its stockholders, by assisting the Company and its subsidiaries to attract, retain and provide incentives to key management employees, directors |
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| September 29, 2023 |
Exhibit 10.4 WARRANT TERMINATION AGREEMENT THIS WARRANT TERMINATION AGREEMENT (this “Agreement”) is made as of this 22nd day of September, 2023, by and between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Gazellek Holdings I, LLC (“GHI”). WHEREAS, on August 2, 2021, the Company issued to GHI a warrant to purchase 5.2% of the shares of the Company’s common stock, par v |
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| September 29, 2023 |
EXHIBIT 10. 2 Execution Version TERM LOAN AND SECURITY AGREEMENT THIS TERM LOAN AND SECURITY AGREEMENT, dated as of September 25, 2023 (as amended, restated, supplemented or otherwise modified from time to time, this “Agreement”), is entered into by and among GlassBridge Enterprises, Inc., a Delaware corporation (the “Borrower”), the guarantors from time to time party hereto (collectively, the “Gu |
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| September 29, 2023 |
EXHIBIT 10.6 Execution Version INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of September 25, 2023 between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Claire Councill (“Indemnitee”). All capitalized terms used but not otherwise defined herein have the meanings ascribed to them in Section 13. WITNESSETH THAT: WH |
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| September 29, 2023 |
Exhibit 10.3 REDEMPTION AGREEMENT Redemption Agreement effective as of September 25, 2023 (this “Agreement”) by and between the undersigned sellers (each, a “Seller”, and, collectively, the “Sellers”) and GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”). WHEREAS, each Seller is the owner of the number of shares of Common Stock, par value $0.01(the “Shares”), of the Company set |
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| September 29, 2023 |
Exhibit 4.2 Execution Copy GLASSBRIDGE ENTERPRISES, INC. SERIES 2 RESTRICTED STOCK UNIT AGREEMENT This Restricted Stock Unit Award Agreement (“Agreement”) is made and entered into as of September 25, 2023 (the “Grant Date”), by and between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Tacora Capital, LP, a Delaware limited partnership (the “Awardee”). WITNESSETH: WHERE |
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| September 29, 2023 |
Exhibit 3.1 Execution Copy CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES B PREFERRED STOCK OF GLASSBRIDGE ENTERPRISES, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware GlassBridge Enterprises, Inc., a Delaware corporation (the “Corporation”), pursuant to the provisions of Sections 103 and 151 of the General Corporation Law of the State of Delawar |
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| September 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): September 25, 2023 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction |
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| September 29, 2023 |
Exhibit 10.1 Execution Copy STOCK PURCHASE AGREEMENT by and between GLASSBRIDGE ENTERPRISES, INC. and TACORA CAPITAL, LP September 25, 2023 Table of Contents Page ARTICLE 1 DEFINITIONS 1 Section 1.1 Definitions 1 Section 1.2 Interpretation and Construction 8 ARTICLE 2 PURCHASE AND SALE; INITIAL CLOSING 9 Section 2.1 Purchase and Sale of the Initial Closing Purchased Securities; Consideration 9 Sec |
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| September 29, 2023 |
Exhibit 4.1 Execution Copy GLASSBRIDGE ENTERPRISES, INC. SERIES 1 RESTRICTED STOCK UNIT AGREEMENT This Series 1 Restricted Stock Unit Award Agreement (“Agreement”) is made and entered into as of September 25, 2023 (the “Grant Date”), by and between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Tacora Capital, LP, a Delaware limited partnership (the “Awardee”). WITNESSE |
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| September 29, 2023 |
Exhibit 10.5 Execution Version INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of September 25, 2023 between GlassBridge Enterprises, Inc., a Delaware corporation (the “Company”), and Keri Findley (“Indemnitee”). All capitalized terms used but not otherwise defined herein have the meanings ascribed to them in Section 13. WITNESSETH THAT: WHERE |
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| September 26, 2023 |
begin 644 ex991to13da512755002092523.pdf M)5!$1BTQ+C8-)>+CS],-"C4W(# @;V)J#3P\+TQI;F5A7!E+UA2968O5ULQ(#,@,5T^/G-TI=0.0& M=B#):-8.8J8F!@8&9@8')D8&%@8-W%(,2 M $) &5:@.,<%H *%SHX#QP[8E/!%,B\Y\#% 7B.T7G19 P/#Y]RU&T"*&8-N MB)KF)81)A,^DQA3(Q,RDQEC-F+)>W61YJE*0 M6)X'S/&*#,SQG"!W 7$7$*LP,%?LA?"9-0 "# .[3RK#0IE;F1S=')E86T- M96YD;V)J#34X(# @;V)J#3P\+TUE=&%D871A(#,T(# @4B]086=E3&%B96QS M(#4S(# @4B]086=E%LP(# |
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| September 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 5)1 GlassBridge Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 377185202 (CUSIP Number) GEORGE E |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERPRISES |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERPRISE |
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| April 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-14310 GLASSBRIDGE ENTE |
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| April 7, 2023 |
Description of securities registered pursuant to Exchange Act Sec. 12 Exhibit 4.2 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 References to “Glassbridge” and the “Company” herein are, unless the context otherwise indicates, only to Glassbridge Enterprises , Inc. and not to any of its subsidiaries. As of December 31, 2022, the end of the period covered by this Annual Report on Form 10-K, Glassbridge |
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| April 7, 2023 |
Subsidiaries of GlassBridge Enterprises, Inc. EX-21.1 3 ex21-1.htm Exhibit 21.1 Subsidiaries of the Company as of April 7, 2023 Subsidiary* Jurisdiction of Organization GlassBridge Arrive Investor, LLC Delaware GlassBridge Athlete, LLC Delaware GlassBridge Capital, LLC Delaware GlassBridge Investment Management, LLC Delaware Memorex Products Inc. Delaware NXSN Acquisition Corp. Delaware *Certain subsidiaries listed are indirectly and/or parti |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-14310 NOTIFICATION OF LATE FILING CUSIP NUMBER (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Re |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERP |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERPRISES |
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| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERPRISE |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-14310 GLASSBRIDGE ENTE |
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| March 31, 2022 |
Stock Purchase Agreement, dated December 30, 2021, between registrant and Fintech Debt Corp. Exhibit 10.11 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT, dated as of December 30, 2021 (this ?Purchase Agreement?), is entered into by and between Fintech Debt Corp, (the ?Buyer?) and GlassBridge Enterprises, Inc., a Delaware corporation (the ?Seller?). WHEREAS, the Seller desires to sell to Buyer all of the shares of Sport-BLX, Inc., a Delaware corporation (the ?Company?) set forth b |
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| March 31, 2022 |
Subsidiaries of GlassBridge Enterprises, Inc. Exhibit 21.1 Subsidiaries of the Company as of March 31, 2022 Subsidiary* Jurisdiction of Organization GlassBridge Arrive Investor, LLC Delaware GlassBridge Athlete, LLC Delaware GlassBridge Capital, LLC Delaware GlassBridge Investment Management, LLC Delaware Memorex Products Inc. Delaware NXSN Acquisition Corp. Delaware *Certain subsidiaries listed are indirectly and/or partially-owned. |
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| January 18, 2022 |
GLAE / GlassBridge Enterprises, Inc. / Allspring Global Investments Holdings, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) GLASSBRIDGE ENTERPRISES INC (Name of Issuer) COM (Title of Class of Securities) 377185202 (CUSIP Number) December 31,2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| January 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): December 30, 2021 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-34635 Delaware 41-1838504 (State or other jurisdiction o |
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| December 8, 2021 |
GLAE / GlassBridge Enterprises, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) GLASSBRIDGE ENTERPRISES INC (Name of Issuer) Common Stock (Title of Class of Securities) 377185202 (CUSIP Number) November 30, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| December 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): December 1, 2021 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of |
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| December 1, 2021 |
Amendment to Restated Certificate of Incorporation Exhibit 3.2 AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION AS AMENDED OF GLASSBRIDGE ENTERPRISES, INC. The undersigned, being a duly authorized officer of GlassBridge Enterprises, Inc. (the ?Corporation?), a corporation existing under the laws of the State of Delaware, does hereby certify as follows: 1. The name of the Corporation is ?GlassBridge Enterprises, Inc.? and was formerly ?Imatio |
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| December 1, 2021 |
Exhibit 3.3 STATE OF DELAWARE CERTIFICATE OF CORRECTION GlassBridge Enterprises, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware. DOES HEREBY CERTIFY: 1. The name of the corporation is GlassBridge Enterprises, Inc. 2. That a Certificate of Amendment to the Certificate of Incorporation as Amended was filed by the Secretary of St |
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| December 1, 2021 |
Certificate of Designation of Series A Participating Preferred Stock Exhibit 3.4 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES A PARTICIPATING PREFERRED STOCK OF GLASSBRIDGE ENTERPRISES, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware GlassBridge Enterprises, Inc., a Delaware corporation (the ?Corporation?), pursuant to the provisions of Sections 103 and 151 of the General Corporation Law of the State of Delaware |
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| December 1, 2021 |
Amended and Restated Certificate of Incorporation Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF GLASSBRIDGE ENTERPRISES, INC. August 28, 2017 GlassBridge Enterprises, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), does hereby certify as follows: 1. The name of the Corporation is ?GlassBridge Enterprises, Inc.? 2. The name under which the Corporation was originally incorpo |
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| December 1, 2021 |
8-A12G 1 form8-a12g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 41-1838504 (State of incorporation or organization) (I.R.S. Employer Identifi |
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| December 1, 2021 |
Exhibit 4.1 GLASSBRIDGE ENTERPRISES, INC. and EQUINITI TRUST COMPANY as Rights Agent 382 RIGHTS AGREEMENT Dated as of December 1, 2021 TABLE OF CONTENTS Page Section 1. Certain Definitions 2 Section 2. Appointment of Rights Agent 6 Section 3. Issuance of Rights Certificates 7 Section 4. Form of Rights Certificates 9 Section 5. Countersignature and Registration 10 Section 6. Transfer 10 Section 7. |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERP |
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| November 2, 2021 |
Common Stock Purchase Warrant, dated August 2, 2021, issued to Gazellek Holdings I, LLC Exhibit 10.5 |
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| November 2, 2021 |
Agreement, dated July 31, 2021, among George E. Hall, Joseph A. DePerio, and the registrant Exhibit 10.1 |
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| November 2, 2021 |
Exhibit 10.3 |
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| November 2, 2021 |
Exhibit 10.7 |
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| November 2, 2021 |
Exhibit 10.2 |
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| November 2, 2021 |
Common Stock Purchase Warrant, dated August 2, 2021, issued to Gazellek Holdings I, LLC Exhibit 10.6 |
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| November 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERPRISES |
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| November 2, 2021 |
Consulting Agreement between Gazellek Holdings I, LLC and the registrant, dated August 2, 2021 Exhibit 10.4 |
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| September 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERPRISE |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): August 6, 2021 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other jurisdiction of I |
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| August 4, 2021 |
Subsidiaries of GlassBridge Enterprises, Inc. Exhibit 21.1 Subsidiaries of the Company as of August 4, 2021 Subsidiary* Jurisdiction of Organization Adara Enterprises Corp. Delaware GlassBridge Arrive Investor, LLC Delaware GlassBridge Athlete, LLC Delaware GlassBridge Capital, LLC Delaware GlassBridge Investment Management, LLC Delaware GlassBridge Multi Strategy GP, LLC Delaware GlassBridge Multi Strategy Onshore, LP Delaware GlassBridge Qu |
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| August 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K 10-K 1 form10-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: |
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| August 4, 2021 |
Stock Purchase Agreement, dated December 12, 2019, between George Hall and the Company Exhibit 10.11 |
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| May 24, 2021 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest reported event): May 20, 2021 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Commission File No. 001-14310 Delaware 41-1838504 (State or other j |
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| March 31, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-14310 NOTIFICATION OF LATE FILING CUSIP NUMBER (Check one): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2020 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form |
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| January 28, 2021 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 28, 2021 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of in |
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| January 28, 2021 |
Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF GLASSBRIDGE ENTERPRISES, INC. Effective as of January 28, 2021 - - - ARTICLE I SEAL Section 1. The corporate seal shall have inscribed thereon the name of GlassBridge Enterprises, Inc. (the “Corporation”), the year of its organization, and shall be in such form as may be approved from time to time by the Board of Directors. Said seal may be used by causin |
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| January 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 11, 2021 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Comm |
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| January 12, 2021 |
Submission of Matters to a Vote of Security Holders - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A Amendment No. 1 to Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 22, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction o |
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| January 6, 2021 |
Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Glassbridge Enterprises, Inc. This Joint Filing Agreement shall be filed as an Exhibit to |
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| January 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 4)1 GlassBridge Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 377185202 (CUSIP Number) GEORGE E |
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| January 6, 2021 |
EXHIBIT 99.1 - AGREEMENT, EFFECTIVE DECEMBER 31, 2020 EXECUTION VERSION Agreement This Agreement (the “Settlement Agreement”) is made by and between Robert G. |
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| December 22, 2020 |
Submission of Matters to a Vote of Security Holders - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 22, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Com |
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| November 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| November 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| November 16, 2020 |
EX-10.11 12 ex10-11.htm Exhibit 10.11 Registrant, Clinton Group Inc., and Clinton Special Opportunities Fund LLC (the “Fund”) agreed to terminate a Credit Facility Letter Agreement, dated November 15, 2019, between registrant and the Fund, and to offset the Fund’s obligation of $500,000 principal amount and accrued interest thereunder against registrant’s interest obligations under a $12,116,718 P |
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| November 16, 2020 |
EX-10.1 2 ex10-1.htm Exhibit 10.1 |
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| November 16, 2020 |
Stock Purchase Agreement, dated July 21, 2020 between Orix and the registrant Exhibit 10.9 |
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| November 16, 2020 |
Limited Recourse Stock Pledge Agreement, dated July 20, 2020, between registrant and ESW Exhibit 10.6 |
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| November 16, 2020 |
Subscription Agreement, dated July 21, 2020, between ESW and AEC EX-10.7 8 ex10-7.htm Exhibit 10.7 |
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| November 16, 2020 |
Exhibit 10.2 |
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| November 16, 2020 |
Membership Purchase Agreement, dated July 21, 2020, between AEC and GEH Sport LLC (“GEH”) Exhibit 10.3 |
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| November 16, 2020 |
Exhibit 10.5 |
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| November 16, 2020 |
Software Assignment Agreement, dated July, 20, 2020, between GEH Capital, LLC and AEC EX-10.8 9 ex10-8.htm Exhibit 10.8 ASSIGNMENT AGREEMENT THIS ASSIGNMENT AGREEMENT (this “Agreement”) is made and entered into on the 20th day of July, 2020 (the “Effective Date”), by and between GEH Capital, LLC a Delaware limited liability company (“Assignor”), and Adara Enterprises Corp. (f/k/a Imation Enterprises Corp.), a Delaware corporation (“Assignee”). In consideration of the mutual covenan |
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| November 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE EN |
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| November 16, 2020 |
Debt Exchange and Secured Loan Agreement, dated July 21, 2020, among GEH, AAM, and Orix, Exhibit 10.4 |
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| November 16, 2020 |
Termination of Stockholders’ Agreement, dated July 21, 2020 between Orix and the registrant EX-10.10 11 ex10-10.htm Exhibit 10.10 |
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| September 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 25, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Co |
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| September 28, 2020 |
EX-3.1 2 ex3-1.htm Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF GLASSBRIDGE ENTERPRISES, INC. Effective as of September 25, 2020 - - - ARTICLE I SEAL Section 1. The corporate seal shall have inscribed thereon the name of GlassBridge Enterprises, Inc. (the “Corporation”), the year of its organization, and shall be in such form as may be approved from time to time by the Board of Directors. Said seal |
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| September 17, 2020 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 14, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of |
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| August 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 12, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commi |
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| August 14, 2020 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 |
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| July 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 21, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commiss |
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| June 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERP |
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| May 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 11, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commissi |
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| April 30, 2020 |
Amendment to Restated Certificate of Incorporation dated August 28, 2017. Exhibit 3.2 |
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| April 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: |
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| April 3, 2020 |
GLA / GlassBridge Enterprises, Inc. 10-K - Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-14310 GLASSBRIDGE |
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| April 3, 2020 |
Description of securities registered pursuant to Exchange Act Sec. 12 EX-4.2 3 ex4-2.htm Exhibit 4.2 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 References to “Glassbridge” and the “Company” herein are, unless the context otherwise indicates, only to Glassbridge Enterprises , Inc. and not to any of its subsidiaries. As of December 31, 2019, the end of the period covered by this Annual Report on Form |
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| April 3, 2020 |
CREDIT FACILITY LETTER AGREEMENT November 15, 2019 Clinton Special Opportunities Fund LLC 510 Madison Avenue, 9th Floor New York, NY 10022 Attention: George E. |
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| April 3, 2020 |
EX-10.3 6 ex10-3.htm DEMAND NOTE As of October 1, 2019 Up to $1,750,000 BORROWER (Name): Sport-BLX, Inc., a Delaware corporation (“Borrower”) (Address of chief executive office): 510 Madison Avenue, 9th Floor, New York, New York 10022 LENDER: GlassBridge Enterprises, Inc. (“Lender”), having an office at 510 Madison Avenue, 9th Floor, New York, New York 10022, Attention: Daniel Strauss WHEREAS, Bor |
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| April 3, 2020 |
Exhibit 10.43 SECURED PROMISSORY NOTE AGREEMENT DATED AS OF MARCH 17, 2020 BY AND AMONG GLASSBRIDGE ATHLETE, LLC, AS BORROWER, ORIX PTP HOLDINGS, LLC, AS LENDER, AND GLASSBRIDGE ENTERPRISES, INC., FOR THE LIMITED PURPOSES OF SECTIONS 4 AND 5 HEREOF SECURED PROMISSORY NOTE AGREEMENT Original Principal Amount: $16,000,000 Effective Date: March 17, 2020 FOR VALUE RECEIVED, GlassBridge Athlete, LLC, a |
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| April 3, 2020 |
Subsidiaries of GlassBridge Enterprises, Inc. Exhibit 21.1 Subsidiaries of the Company as of April 2, 2020 Subsidiary* Jurisdiction of Organization Adara Asset Management, LLC Delaware Adara Enterprises Corp. Delaware GlassBridge Arrive Investor, LLC Delaware GlassBridge Athlete, LLC Delaware GlassBridge Capital, LLC Delaware GlassBridge Investment Management, LLC Delaware GlassBridge Multi Strategy GP, LLC Delaware GlassBridge Multi Strategy |
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| April 3, 2020 |
Unsecured Demand Note, dated December 27, 2019, issued by Sport-BLX, Inc. to the Company DEMAND NOTE December 27, 2019 $250,000 BORROWER: Sport-BLX, Inc., a Delaware corporation (“Borrower”), having an office at 33 Newman Springs Road, Tinton Falls, New Jersey 07724 LENDER: GlassBridge Enterprises, Inc. (“Lender”), having an office at 411 East 57th Street, Suite 100, New York, New York 10022, Attention: Daniel Strauss WHEREAS, Borrower seeks to borrow from Lender, amounts not to excee |
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| April 3, 2020 |
Pledge Agreement, dated March 17, 2020, between the Company and Orix PTP Holdings, LLC EX-10.45 10 ex10-45.htm Exhibit 10.45 PLEDGE AGREEMENT (PARENT) THIS PLEDGE AGREEMENT (as amended, restated, amended and restated, supplemented or otherwise modified from time to time, this “Agreement”) is entered into as of March 17, 2020 (the “Closing Date”), by GlassBridge Enterprises, Inc., a Delaware corporation (“Pledgor”), for the benefit of ORIX PTP Holdings, LLC, a Delaware limited liabil |
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| April 3, 2020 |
Stock Purchase Agreement, dated December 12, 2019, between Joseph A. De Perio and the Company EX-10.2 5 ex10-2.htm STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT, dated as of December 12, 2019 (this “Purchase Agreement”), is entered into by and between Joseph A. De Perio (the “Seller”) and GlassBridge Enterprises, Inc., a Delaware corporation (the “Buyer”). WHEREAS, the Seller desires to sell to Buyer all of the shares of Sport-BLX, Inc., a Delaware corporation (the “Company”) set |
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| April 3, 2020 |
EX-10.44 9 ex10-44.htm Exhibit 10.44 SECURITY AGREEMENT THIS SECURITY AGREEMENT (as amended, restated, amended and restated, modified or supplemented and in effect from time to time, this “Agreement”) is entered into as of March 17, 2020, by GlassBridge Athlete, LLC, a Delaware limited liability company, as grantor (“Grantor”), for the benefit of ORIX PTP Holdings, LLC, a Delaware limited liabilit |
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| March 31, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 30, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commis |
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| March 27, 2020 |
Entry into a Material Definitive Agreement, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 20, 2020 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commis |
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| February 4, 2020 |
GLA / GlassBridge Enterprises, Inc. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G 1 wfglassbridg-377185202.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) GLASSBRIDGE ENTERPRISES INC (Name of Issuer) COM (Title of Class of Securities) 377185202 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| January 2, 2020 |
Entry into a Material Definitive Agreement 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 27, 2019 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of i |
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| December 18, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 12, 2019 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Com |
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| December 13, 2019 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 6, 2019 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Comm |
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| November 21, 2019 |
Entry into a Material Definitive Agreement United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 14, 2019 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Com |
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| November 8, 2019 |
EX-10.4 6 ex10-4.htm Execution Copy STOCKHOLDERS AGREEMENT This Stockholders Agreement (this “Agreement”), dated as of September 27, 2019, is entered into among Imation Enterprises Corp., a Delaware corporation (the “Company”), GlassBridge Enterprises, Inc., a Delaware corporation (“GlassBridge”), and ORIX PTP HOLDINGS, LLC, a Delaware limited liability company (“ORIX” and, together with GlassBrid |
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| November 8, 2019 |
Promissory Note, dated September 30, 2019, issued by the Company to Imation Enterprises Corp. EX-10.1 3 ex10-1.htm Execution Version PROMISSORY NOTE Date: September 30, 2019 Loan Amount: $9,000,000 Interest Rate: 7.50% Borrower: Imation Enterprises Corp., a Delaware corporation Note Holder: GlassBridge Enterprises, Inc., a Delaware corporation 1. BORROWER’S PROMISE TO PAY (a) In partial consideration for the assignment and transfer of the Priority Interest (as defined in that certain Assig |
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| November 8, 2019 |
Execution Version EQUITY ASSIGNMENT AGREEMENT THIS EQUITY ASSIGNMENT AGREEMENT (this “Agreement”) is made and entered into as of September 30, 2019 (the “Effective Date”), by and between GlassBridge Enterprises, Inc. |
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| November 8, 2019 |
GLA / GlassBridge Enterprises, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE EN |
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| November 8, 2019 |
EX-10.6 8 ex10-6.htm Execution Version ASSIGNMENT OF CLAIMS AGREEMENT This Assignment of Claims Agreement (this “Agreement”) is made and entered into as of the 30 day of September, 2019 (the “Effective Date”), by and between GlassBridge Enterprises, Inc., a Delaware corporation (“Assignor”), and Imation Enterprises Corp., a Delaware corporation (“Assignee”). RECITALS A. WHEREAS, Assignee is a whol |
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| November 8, 2019 |
EX-10.5 7 ex10-5.htm Execution Version AGREEMENT RELATING TO THE ASSIGNMENT AND ASSUMPTION OF PROMISSORY NOTES This Agreement Relating to the Assignment and Assumption of Promissory Notes (this “Agreement”) is dated as of September 27, 2019 (the “Effective Date”) and is entered into by and between GlassBridge Enterprises, Inc., a Delaware corporation (the “Assignor”), ORIX PTP HOLDINGS, LLC, a Del |
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| November 8, 2019 |
EX-10.3 5 ex10-3.htm Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”), dated as of October 1, 2019, is entered into between GlassBridge Enterprises, Inc., a Delaware corporation (“Seller”), and ORIX PTP HOLDINGS, LLC, a Delaware limited liability company (“Buyer”). RECITALS WHEREAS, Seller owns all of the issued and outstanding shares of common |
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| November 8, 2019 |
Promissory Note, dated September 30, 2019, issued by the Company to Imation Enterprises Corp. EX-10.2 4 ex10-2.htm Execution Version PROMISSORY NOTE Date: September 30, 2019 Loan Amount: $4,000,000 Interest Rate: 7.50% Borrower: Imation Enterprises Corp., a Delaware corporation Note Holder: GlassBridge Enterprises, Inc., a Delaware corporation 1. BORROWER’S PROMISE TO PAY (a) In partial consideration for the assignment and transfer of the Shares (as defined in that certain Equity Assignmen |
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| October 10, 2019 |
GLA / GlassBridge Enterprises, Inc. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G 1 wfglassbridg-377185202.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) GLASSBRIDGE ENTERPRISES INC (Name of Issuer) COM (Title of Class of Securities) 377185202 (CUSIP Number) September 30, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| October 7, 2019 |
EX-10.1 2 ex10-1.htm SETTLEMENT AGREEMENT This Settlement Agreement (this “Agreement”), dated as of October 1, 2019 (“Effective Date”), is entered into between GlassBridge Enterprises Inc. (“GlassBridge”) and the Pension Benefit Guaranty Corporation (“PBGC”, and collectively with GlassBridge, the “Parties”). Recitals A. PBGC is a wholly-owned United States government corporation and agency establi |
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| October 7, 2019 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 1, 2019 Date of Report (Date of earliest event reported) GLASSBRIDGE ENTERPRISES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commi |
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| October 7, 2019 |
EX-10.2 3 ex10-2.htm Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”), dated as of October 1, 2019, is entered into between GlassBridge Enterprises, Inc., a Delaware corporation (“Seller”), and ORIX PTP HOLDINGS, LLC, a Delaware limited liability company (“Buyer”). RECITALS WHEREAS, Seller owns all of the issued and outstanding shares of common |
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| September 10, 2019 |
IMN / Imation Corp. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) GLASSBRIDGE ENTERPRISES INC (Name of Issuer) Common Stock (Title of Class of Securities) 377185103 (CUSIP Number) August 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| August 22, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 22, 2019 (August 20, 2019) GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commissi |
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| August 22, 2019 |
EX-3.1 2 ex3-1.htm AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION AS AMENDED OF GLASSBRIDGE ENTERPRISES, INC. The undersigned, being a duly authorized officer of GlassBridge Enterprises, Inc. (the “Corporation”), a corporation existing under the laws of the State of Delaware, does hereby certify as follows: 1. The name of the Corporation is “GlassBridge Enterprises, Inc.” and was formerly |
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| August 20, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2019 (August 16, 2019) GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commissi |
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| August 15, 2019 |
GLA / GlassBridge Enterprises, Inc. NT 10-Q - - OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: August 31, 2015 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-14310 CUSIP NUMBER NOTIFICATION OF LATE FILING (Check one): [ ] Form 10-K [] Form 20-F [] Form 11-K [X] Form 10-Q [] Form 10-D [] Form N-SAR [] Form N-CSR For Period Ended: June 30, 2019 |
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| August 15, 2019 |
GLA / GlassBridge Enterprises, Inc. 10-Q - Quarterly Report - 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 |
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| July 3, 2019 |
GLA / GlassBridge Enterprises, Inc. DEFR14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| July 2, 2019 |
GLA / GlassBridge Enterprises, Inc. CORRESP - - GlassBridge Enterprises, Inc. 510 Madison Avenue, 9th Fl. New York, NY 10022 July 2, 2019 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE Washington, DC 20549 Attn: Jessica Livingston and Pam Long Re: GlassBridge Enterprises, Inc. Preliminary Proxy Materials on Form PRE 14A Filed June 14, 2019 File No. 001-14310 Dear Ms. Livingston and Ms. Lon |
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| June 28, 2019 |
GLA / GlassBridge Enterprises, Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| June 14, 2019 |
GLA / GlassBridge Enterprises, Inc. PRE 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 15, 2019 |
GLA / GlassBridge Enterprises, Inc. 10-Q Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERP |
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| May 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2019 (May 3, 2019) GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commission ( |
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| April 30, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 30, 2019 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commission (IRS Employe |
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| April 30, 2019 | ||
| April 30, 2019 |
Attention All Participants and Beneficiaries of: Imation Cash Balance Pension Plan EX-99.1 6 ex99-1.htm Attention All Participants and Beneficiaries of: Imation Cash Balance Pension Plan The Pension Benefit Guaranty Corporation (PBGC), the federal government’s insurance program for pension benefits, is taking steps to assume responsibility for your pension plan. This means PBGC will become your plan’s trustee. PBGC will pay you the benefits you earned, up to limits set by law. P |
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| April 2, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 2, 2019 (March 28, 2019) GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commiss |
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| April 2, 2019 |
EX-10.1 2 ex10-1.htm PRE-PAY AGREEMENT This Pre-Pay Agreement (this “Agreement”) is made as of March 28, 2019 (the “Effective Date”) by and among CMC Magnetics Corporation (“CMC”) and GlassBridge Enterprises, Inc. f/k/a Imation Corp., a Delaware corporation and its subsidiaries (“GlassBridge”) including Imation Corp Japan (“ICJ”), and together with CMC and GlassBridge, each a “Party” and collectiv |
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| April 2, 2019 |
EX-10.3 4 ex10-3.htm AMENDED AND RESTATED SERVICES AGREEMENT This Amended and Restated Services Agreement (the “Agreement”), has been made and entered into as of March 29th, 2019 (the “Effective Date”), by and between Clinton Group, Inc., a Delaware corporation (“Clinton”), and GlassBridge Enterprises, Inc. f/k/a Imation Corp, a Delaware corporation (“GlassBridge”) (each a “Party” and collectively |
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| April 2, 2019 |
SECURITIES PURCHASE AGREEMENT by and between GLASSBRIDGE ENTERPRISES, INC. and IMN CAPITAL HOLDINGS INC. dated as of March 31, 2019 securities PURCHASE AGREEMENT SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of March 31, 2019, by and between GlassBridge Enterprises, Inc., a Delaware corporation and its subsidiaries (“Seller”), and IMN Capital Holdings Inc., a Delaware corporation (“Pur |
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| April 1, 2019 |
GLA / GlassBridge Enterprises, Inc. (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-14310 GLASSBRIDGE |
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| April 1, 2019 |
Subsidiaries of GlassBridge Enterprises, Inc. EX-21.1 3 ex21-1.htm Exhibit 21.1 Subsidiaries of the Company as of April 1, 2019 Subsidiary* Jurisdiction of Organization GlassBridge Arrive Investor, LLC Delaware GlassBridge Asset Management, LLC Delaware GlassBridge Multi Strategy GP, LLC Delaware GlassBridge Multi Strategy Onshore, LP Delaware GlassBridge Quant Strategy GP, LLC Delaware GlassBridge Quant Strategy Onshore, LP Delaware Imation |
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| March 13, 2019 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 13, 2019 (March 13, 2019) GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commis |
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| March 13, 2019 |
GlassBridge Reports Fourth Quarter and Full Year 2018 Financial Results GlassBridge Reports Fourth Quarter and Full Year 2018 Financial Results OAKDALE, Minn. |
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| February 14, 2019 |
IMN / Imation Corp. / Footprints Asset Management & Research - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* GlassBridge Enterprises Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 377185103 (CUSIP Number) Stephen J. Lococo, 11422 Miracle Hills Drive, Suite 208 Omaha, NE 68154 402-445-9333 (Name, Address and Tel |
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| January 22, 2019 |
IMN / Imation Corp. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) GLASSBRIDGE ENTERPRISES INC (Name of Issuer) Common (Title of Class of Securities) 377185103 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| December 28, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 28, 2018 (December 21, 2018) GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction ( |
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| December 28, 2018 |
Agreement between Zentralstelle für private Überspielungsrechte (ZPÜ) Gesellschaft des bürgerlichen Rechts, and its members and TME GmbH Imation Europe B. |
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| November 13, 2018 |
GLA / GlassBridge Enterprises, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or o TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERP |
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| October 26, 2018 |
16.1 Letter from Marcum LLP, dated August 25, 2018 Exhibit 16.1 October 25, 2018 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by GlassBridge Enterprises Inc. under Item 4.01 of its Form 8-K dated October 22, 2018. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of G1assBridge Enterpris |
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| October 26, 2018 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 22, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commission (IRS Emplo |
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| August 31, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 31, 2018 (August 30, 2018) GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Comm |
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| August 21, 2018 |
EX-99.1 8 tv501412ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 GlassBridge Announces Divestiture of Nexsan Business Company is Now a Pure Play Asset Management Company OAKDALE, Minn., August 21, 2018 /PRNewswire/ — GlassBridge Enterprises, Inc. (OTCQX: GLAE) ("GlassBridge", the "Company" or "we") today announced the closing of the divestiture of the Nexsan business (the “Transaction”). Through a series of |
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| August 21, 2018 |
EX-10.6 7 tv501412ex10-6.htm EXHIBIT 10.6 Exhibit 10.6 SETTLEMENT AGREEMENT and MUTUAL RELEASE This Settlement Agreement and Mutual Release (“Settlement Agreement”) is made as August 10, 2018 by and between Richard T. Romano and Robert H. Mack (“Plaintiffs”), on the one hand, and Nexsan Technologies, Inc., Spear Point Capital Management, LLC, Humilis Holdings Capital Management, LLC, Spear Point P |
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| August 21, 2018 |
Exhibit 10.3 Execution Version ASSIGNMENT OF CONTRACT This Assignment of Contract (the “Assignment”) is made as of August 15, 2018 by and between Humilis Holdings LLC, a Delaware limited liability company (“Holdings”), and StorCentric, Inc., a Delaware corporation (“StorCentric”), (individually “Party” and collectively the “Parties”). Holdings has been assigned that certain Option Agreement (the “ |
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| August 21, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 16, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commission (IRS Employ |
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| August 21, 2018 |
EX-99.2 9 tv501412ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 GLASSBRIDGE ENTERPRISES, INC. CONDENSED CONSOLIDATED BALANCE SHEET AS OF JUNE 30, 2018 (In millions, except per share amounts) As Reported (Unaudited) Divestiture in Nexsan (Unaudited) Pro Forma (Unaudited) Assets Current assets: Cash and cash equivalents 5.3 (0.7 ) 4.6 Accounts receivable, net 5.4 (5.4 ) - Inventories 2.7 (2.7 ) - Other curre |
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| August 21, 2018 |
Exhibit 10.5 PRE-PAY AGREEMENT This Pre-Pay Agreement (this “Agreement”) is made as of August 13, 2018 (the “Effective Date”) by and among IOENGINE, LLC, a Delaware limited liability company (“IOENGINE”), GlassBridge Enterprises, Inc. f/k/a Imation Corp., a Delaware corporation (“GlassBridge”), and Scott F. McNulty (“McNulty” and together with IOENGINE and GlassBridge, each a “Party” and collectiv |
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| August 21, 2018 |
Exhibit 10.4 STOCK PURCHASE AGREEMENT dated August 16, 2018 by and among STORCENTRIC, INC., as Buyer; NXSN ACQUISITION CORP., as Seller; and GLASSBRIDGE ENTERPRISES, INC., as Parent TABLE OF CONTENTS Page Article 1 SHARE PURCHASE 3 Section 1.1 Purchase and Sale of the Shares 3 Section 1.2 Closing 3 Section 1.3 Payments at Closing 3 Section 1.4 Drobo Note and other Indebtedness 3 Section 1.5 Workin |
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| August 21, 2018 |
Exhibit 10.1 EXCHANGE AGREEMENT This EXCHANGE AGREEMENT (this “Agreement”) is made as of August [—], 2018 between Humilis Holdings Private Equity LP (the “Seller”) and GlassBridge Enterprises, Inc., a Minnesota corporation (the “Buyer”). WHEREAS, the Seller owns (i) 140,000,500 shares of common stock (the “Common Shares”) of NXSN Acquisition Corp., a Delaware corporation and subsidiary of the Buye |
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| August 21, 2018 |
EX-10.2 3 tv501412ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 OPTION AGREEMENT This OPTION AGREEMENT (this “Agreement”) is made as of August [-], 2018 among GlassBridge Enterprises, Inc., a Delaware corporation (“GlassBridge”), Humilis Holdings Private Equity LP (“Humilis,” formerly known as Spear Point Capital Management LLC), NXSN Acquisition Corp., a Delaware corporation (“Acquisition”), and Nexsan co |
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| August 14, 2018 |
GlassBridge Reports Second Quarter 2018 Financial Results Nexsan Business Remained Profitable Exhibit 99.1 GlassBridge Reports Second Quarter 2018 Financial Results Nexsan Business Remained Profitable OAKDALE, Minn., August 14, 2018 /PRNewswire/ - GlassBridge Enterprises, Inc. (OTCQX: GLAE) ("GlassBridge", the "Company" or "we") today announced its financial results for the second quarter of 2018. Overview Our Nexsan business remained profitable in the second quarter. Our newly launched As |
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| August 14, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 14, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Comm |
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| August 14, 2018 |
GLA / GlassBridge Enterprises, Inc. 10-Q (Quarterly Report) 10-Q 1 imn0630201810-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or o TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: |
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| June 22, 2018 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in charter) Delaware 001-14310 41-1838504 (State or other jurisdiction (Commission (IRS Employer of |
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| May 23, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 21, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commiss |
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| May 23, 2018 |
Exhibit 10.1 Execution Copy LITIGATION FINANCE & MANAGEMENT Agreement This Litigation Finance & Management Agreement (this “Agreement”), entered into as of May 1, 2018 (the “Commencement Date”), by and among IMATION EUROPE B.V., a company organized under the laws of the Netherlands (“Imation Europe”), and MACH 5 B.V., a company organized under the laws of the Netherlands (“Mach 5”) and together wi |
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| May 15, 2018 |
GLA / GlassBridge Enterprises, Inc. 10-Q (Quarterly Report) 10-Q 1 imn0331201810-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or o TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number |
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| May 15, 2018 |
GlassBridge Reports First Quarter 2018 Financial Results Nexsan Business Returned to Profit EX-99.1 2 tv494157ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 GlassBridge Reports First Quarter 2018 Financial Results Nexsan Business Returned to Profit Oakdale, Minnesota - (PR Newswire) - May 15, 2018 - GlassBridge Enterprises, Inc. (OTCQX: GLAE) (“GlassBridge”, the “Company” or “we”) today announced its financial results for the first quarter of 2018. Overview In the last earnings release, we discuss |
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| May 15, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 15, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commiss |
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| May 4, 2018 |
GLA / GlassBridge Enterprises, Inc. DEFINITIVE ADDITIONAL MATERIAL SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under §240. |
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| May 4, 2018 |
GLA / GlassBridge Enterprises, Inc. DEFINITIVE PROXY STATEMENT TABLE OF CONTENTS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 30, 2018 |
GLA / GlassBridge Enterprises, Inc. 10-K/A (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-14 |
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| April 24, 2018 |
GLA / GlassBridge Enterprises, Inc. PRELIMINARY PROXY STATEMENT TABLE OF CONTENTS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 16, 2018 |
EX-99.1 2 tv491088ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 For Immediate Release For More Information Contact: Soho Capital LLC [email protected] GlassBridge Asset Management to Deliver Strategies Via Strategy Data Exchange (SDX) Innovative alternative asset manager to deliver strategies as SMAs and AMCs globally via digital distribution Singapore (April 16, 2018) – GlassBridge Asset Management (‘Glass |
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| April 16, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 16, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commi |
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| April 2, 2018 |
GLA / GlassBridge Enterprises, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-14310 GLASSBRIDGE ENTE |
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| April 2, 2018 |
Subsidiaries of GlassBridge Enterprises, Inc. EX-21.1 2 a2017imn-10kxex211.htm EXHIBIT 21.1 Exhibit 21.1 Subsidiaries of the Company as of April 2, 2018 Subsidiary* Jurisdiction of Organization 6360246 Canada Inc. Canada 6360319 Canada Inc. Canada Connected Data, Inc. California GlassBridge Arrive Investor, LLC Delaware GlassBridge Asset Management, LLC Delaware GlassBridge Multi Strategy GP, LLC Delaware GlassBridge Multi Strategy Onshore, L |
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| March 30, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 26, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commi |
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| March 30, 2018 |
GlassBridge Reports Fourth Quarter 2017 Financial Results Q4 YOY Net Loss Reduced by 83.6% Exhibit 99.1 GlassBridge Reports Fourth Quarter 2017 Financial Results Q4 YOY Net Loss Reduced by 83.6% Oakdale, Minnesota – (PR Newswire) – March 30, 2018 – GlassBridge Enterprises, Inc. (OTCQX: GLAE) (“GlassBridge”, the “Company” or “we”) today announced its financial results for the fourth quarter and fiscal year ended December 31, 2017. Overview Over the past year, we have repositioned the res |
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| March 30, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 30, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commi |
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| March 9, 2018 |
IMN / Imation Corp. / Footprints Asset Management & Research - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Glassbridge Enterprises Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 377185103 (CUSIP Number) Stephen J. Lococo, 11422 Miracle Hills Drive, Suite 208 Omaha, NE 68154 402-445-9333 (Name, Address and Tel |
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| February 9, 2018 |
IMN / Imation Corp. / Private Capital Management, LLC - AMENDMENT NO. 3 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Glassbridge Enterprises Inc. (formerly Imation Corp.) (Name of Issuer) Common Stock (Title of Class of Securities) 377185103 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designat |
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| January 31, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 27, 2018 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Com |
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| January 29, 2018 |
IMN / Imation Corp. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) GLASSBRIDGE ENTERPRISES INC (Name of Issuer) Common (Title of Class of Securities) 377185103 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| November 14, 2017 |
Exhibit 99.1 GlassBridge Reports Third Quarter 2017 Financial Results Q3 Net Income of $8.0 Million Driven by Favorable Legal Settlements Oakdale, Minnesota ? (PR Newswire) ? November 14, 2017 ? GlassBridge Enterprises, Inc. (OTCQX: GLAE) (?GlassBridge?, the ?Company? or ?we?) today announced its financial results for the third quarter ended September 30, 2017. As previously announced, we launched |
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| November 14, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 14, 2017 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Co |
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| November 14, 2017 |
IMN / Imation Corp. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERP |
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| September 28, 2017 |
EX-10.1 2 v476105ex10-1.htm SETTLEMENT AGREEMENT, DATED AS OF SEPTEMBER 28, 2017, BY AND AMONG THE COMPANY, IOENGINE, LLC AND SCOTT MCNULTY Exhibit 10.1 Execution Version SETTLEMENT AGREEMENT This Settlement Agreement (this “Agreement”) is made as of September 28, 2017 (the “Effective Date”) by and between IOENGINE, LLC, a Delaware limited liability company (“IOENGINE”), GlassBridge Enterprises, I |
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| September 28, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 28, 2017 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (C |
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| September 28, 2017 |
Exhibit 10.3 Execution Version PLEDGE AGREEMENT This Pledge Agreement (as amended, modified or supplemented from time to time, this ?Agreement?) is made as of September 28, 2017 (the ?Effective Date?), by and between IOENGINE, LLC, a Delaware limited liability company (the ?Secured Party?) and GlassBridge Enterprises, Inc., a Delaware corporation f/k/a Imation Corp. (the ?Pledgor?). WHEREAS, pursu |
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| September 28, 2017 |
Exhibit 10.2 Execution Version THIS SECURED PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE PLEDGED, SOLD, ASSIGNED, PLEDGED OR OTHERWISE TRANSFERRED UNLESS GLASSBRIDGE ENTERPRISES, INC. HAS EXPRESSLY CONSENTED IN WRITING THERETO AND (I) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EF |
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| September 18, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 15, 2017 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (C |
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| September 18, 2017 |
Exhibit 10.3 GUARANTEE THIS GUARANTEE (?Guarantee?), dated as of September 15, 2017, is made by GlassBridge Enterprises, Inc. f/k/a Imation Corp., 1099 Helmo Avenue, Suite 250, Oakdale, MN 55128 (?Guarantor?), in favor of CMC Magnetics Corporation, 15F, No. 53, Ming Chuan W. Rd., Taipei, 104, Taiwan (?CMC?). WHEREAS, CMC and Guarantor, among other parties, are about to enter into a Settlement Agre |
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| September 18, 2017 |
EX-10.1 2 v475360ex10-1.htm SETTLEMENT AGREEMENT Exhibit 10.1 SETTLEMENT AGREEMENT This Settlement Agreement (this “Agreement”) is entered as of this 15th day of September 2017 by and between GlassBridge Enterprises, Inc. f/k/a Imation Corp., a Delaware corporation, on behalf of itself and each of the subsidiaries and affiliates identified herein (collectively, “GBE”) and CMC Magnetics Corporation |
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| September 18, 2017 |
EX-10.2 3 v475360ex10-2.htm PROMISSORY NOTE Exhibit 10.2 IMATION CORPORATION JAPAN Promissory Note $1,500,000.00 (USD) September 15, 2017 FOR VALUE RECEIVED, the undersigned, Imation Corporation Japan (the “Company”), hereby promises to pay to the order of CMC Magnetics Corporation (the “Noteholder”), on or before October 10, 2019 (the “Maturity Date”), the principal amount of ONE MILLION FIVE HUN |
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| August 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 28, 2017 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Comm |
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| August 30, 2017 |
Amended and Restated Certificate of Incorporation of GlassBridge Enterprises, Inc. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF GlassBridge Enterprises, Inc. August 28, 2017 GlassBridge Enterprises, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), does hereby certify as follows: 1. The name of the Corporation is “GlassBridge Enterprises, Inc.” 2. The name under which the Corporation was originally incorpo |
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| August 29, 2017 |
August 29, 2017 VIA EDGAR Larry Spirgel Assistant Director AD Office 11 ? Telecommunications U. |
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| August 11, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 11, 2017 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Comm |
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| August 11, 2017 |
Exhibit 99.1 GlassBridge Reports Second Quarter 2017 Financial Results Announces Investment Vehicle Launch and Potential Share Repurchases Oakdale, Minnesota ? (PR Newswire) ? August 11, 2017 ? GlassBridge Enterprises, Inc. (OTCQX: GLAE) (?GlassBridge?, the ?Company? or ?we?) today announced its financial results for the second quarter ended June 30, 2017. During the second quarter, we launched an |
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| August 11, 2017 |
IMN / Imation Corp. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT of 1934 For the transition period from to Commission File Number: 1-14310 GLASSBRIDGE ENTERPRISES |
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| August 8, 2017 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0080 Expires: March 31, 2018 Estimated average burden hours per response 1.00 Amendment No. 1 to FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-14310 GlassBridge Enterprises, Inc. / New York Sto |
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| August 2, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 2, 2017 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commi |
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| August 2, 2017 |
GlassBridge Enterprises Begins Trading on OTCQX Best Market Ticker Symbol is “GLAE” Exhibit 99.1 GlassBridge Enterprises Begins Trading on OTCQX Best Market Ticker Symbol is ?GLAE? New York, NY and Oakdale, Minnesota ? August 2, 2017 ? OTC Markets Group Inc. (OTCQX: OTCM) (?OTC Markets Group?) and GlassBridge Enterprises, Inc. (OTCQX: GLAE) (?GlassBridge Enterprises? or the ?Company?) today announced that GlassBridge Enterprises has qualified to trade on the OTCQX? Best Market. G |
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| July 31, 2017 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0080 Expires: March 31, 2018 Estimated average burden hours per response 1.00 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-14310 GlassBridge Enterprises, Inc. / New York Stock Exchange (Exact |
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| July 20, 2017 |
Exhibit 99.1 GlassBridge Announces Anticipated Voluntary Delisting From NYSE and Trading on OTCQX Market Provides General Business Update Oakdale, Minnesota ? July 20, 2017 - GlassBridge Enterprises, Inc. (?GlassBridge?, the ?Company? or ?we?) (NYSE: GLA) today notified the New York Stock Exchange (the ?NYSE?) of its intention to voluntarily delist its common stock from the NYSE. The Company inten |
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| July 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 20, 2017 GLASSBRIDGE ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Delaware 001-14310 41-1838504 (State or other jurisdiction of incorporation) (Commis |
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| July 17, 2017 |
Imation DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ?? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ?? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ?240. |
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| July 17, 2017 |
t1702093-def14a - none - 2.3604422s TABLE OF CONTENTS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ? Defi |
