Filing Details
- Accession Number:
- 0001209191-14-051265
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-07 20:15:23
- Reporting Period:
- 2014-08-05
- Filing Date:
- 2014-08-07
- Accepted Time:
- 2014-08-07 19:15:23
- 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 |
|---|---|---|---|---|---|---|---|
| 1392677 | R Eric Ludwig | Glu Mobile Inc. 500 Howard Street, Suite 300 San Francisco CA 94105 | Evp And Cfo | No | 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 | 2014-08-05 | 8,334 | $0.99 | 65,334 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-05 | 8,334 | $5.27 | 57,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-05 | 40,728 | $1.77 | 97,728 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-05 | 40,728 | $5.27 | 57,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-06 | 19,500 | $1.77 | 76,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-06 | 19,500 | $5.26 | 57,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-07 | 53,937 | $1.77 | 110,937 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-07 | 53,937 | $5.33 | 57,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-07 | 46,863 | $2.03 | 103,863 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-07 | 46,863 | $5.33 | 57,000 | 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 | |
| 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 | 2014-08-05 | 8,334 | $0.00 | 8,334 | $0.99 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-08-05 | 40,728 | $0.00 | 40,728 | $1.77 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-08-06 | 19,500 | $0.00 | 19,500 | $1.77 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-08-07 | 53,937 | $0.00 | 53,937 | $1.77 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-08-07 | 46,863 | $0.00 | 46,863 | $2.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-04-08 | No | 4 | M | Direct | |
| 81,771 | 2016-10-21 | No | 4 | M | Direct | |
| 62,271 | 2016-10-21 | No | 4 | M | Direct | |
| 8,334 | 2016-10-21 | No | 4 | M | Direct | |
| 19,804 | 2017-01-03 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,832 | Indirect | Trust |
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. Ludwig entered into on March 7, 2014.
- Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $5.25 to $5.34. 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.
- Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $5.25 to $5.27. 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.
- Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $5.25 to $5.45. 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.
- These shares are held by the Ludwig McKillop Trust, of which the reporting person and his wife, Mary Elizabeth McKillop, are the co-trustees.
- The option vested and became exercisable with respect to 25% of the shares on April 8, 2011 and the remaining shares vested and became exercisable in equal monthly installments over the following three years, such that the option fully vested on April 8, 2014.
- The option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on October 21, 2011, with the remaining underlying shares vesting and becoming exercisable in equal monthly installments over the following three years such that the option will be fully vested on October 21, 2014.
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