Filing Details
- Accession Number:
- 0001209191-14-017015
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-04 20:57:45
- Reporting Period:
- 2014-02-28
- Filing Date:
- 2014-03-04
- Accepted Time:
- 2014-03-04 20:57:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1366246 | Glu Mobile Inc | GLUU | Services-Computer Programming Services (7371) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1480011 | Niccolo Masi De | C/O Glu Mobile Inc. 500 Howard Street, Suite 300 San Francisco CA 94105 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-02-28 | 98,135 | $1.21 | 143,044 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-28 | 98,135 | $5.21 | 44,909 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-03-03 | 150,000 | $1.21 | 194,909 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-03 | 150,000 | $4.95 | 44,909 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-03-04 | 304,621 | $1.21 | 349,530 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-04 | 304,621 | $5.21 | 44,909 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-02-28 | 98,135 | $0.00 | 98,135 | $1.21 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-03-03 | 150,000 | $0.00 | 150,000 | $1.21 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-03-04 | 304,621 | $0.00 | 304,621 | $1.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 454,621 | 2016-01-04 | No | 4 | M | Direct | |
| 304,621 | 2016-01-04 | No | 4 | M | Direct | |
| 0 | 2016-01-04 | No | 4 | M | Direct |
Footnotes
- The stock option exercise and the sale of the underlying option shares were effected pursuant to a trading plan designed to comply with Rule 10b5-1 of the Securities Exchange Act of 1934 that Mr. de Masi entered into on November 6, 2013.
- Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $4.88 to $5.03. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares sold at each separate price.
- The option vested and became exercisable over four years, with 25% of the underlying shares having vested and become exercisable on January 4, 2011, the first anniversary of the grant date, with the remaining underlying shares vesting and becoming exercisable in equal monthly installments over the following three years such that the option fully vested on January 4, 2014.
Billionaire Hedge Funds
