Filing Details

Accession Number:
0001179110-16-028802
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-08-17 18:49:44
Reporting Period:
2016-08-15
Filing Date:
2016-08-17
Accepted Time:
2016-08-17 18:49:44
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
1589951 J. Gregory Cannon C/O Glu Mobile Inc.
500 Howard Street, Suite 300
San Francisco CA 94105
Vice President, Finance And Ir 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 2016-08-15 1,250 $0.00 85,020 No 4 A Direct
Common Stock Disposition 2016-08-15 470 $2.26 84,550 No 4 F Direct
Common Stock Acquisiton 2016-08-15 3,709 $0.00 88,259 No 4 A Direct
Common Stock Disposition 2016-08-15 1,394 $2.26 86,865 No 4 F Direct
Common Stock Acquisiton 2016-08-15 4,687 $0.00 91,552 No 4 A Direct
Common Stock Disposition 2016-08-15 1,762 $2.26 89,790 No 4 F Direct
Common Stock Disposition 2016-08-16 6,020 $2.24 83,770 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 A Direct
No 4 F Direct
No 4 A Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2016-08-15 1,250 $0.00 1,250 $0.00
Common Stock Restricted Stock Units Disposition 2016-08-15 3,709 $0.00 3,709 $0.00
Common Stock Restricted Stock Units Disposition 2016-08-15 4,687 $0.00 4,687 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,750 No 4 M Direct
18,544 No 4 M Direct
42,188 No 4 M Direct
Footnotes
  1. Vesting of restricted stock units ("RSUs") granted to Mr. Cannon on May 14, 2013.
  2. Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this row of Mr. Cannon's Form 4 were relinquished by Mr. Cannon and cancelled by Glu in exchange for Glu's agreement to pay federal and state tax withholding obligations of Mr. Cannon resulting from the vesting of RSUs. Mr. Cannon did not sell or otherwise dispose of any of the shares reported on this row of his Form 4 for any reason other than to cover required taxes.
  3. Vesting of RSUs granted to Mr. Cannon on October 8, 2013.
  4. Vesting of RSUs granted to Mr. Cannon on October 14, 2014.
  5. The sale was effected pursuant to a trading plan designed to comply with Rule 10b5-1 of the Securities Exchange Act of 1934 that Mr. Cannon entered into on March 7, 2016.
  6. Each RSU represents a contingent right to receive one share of Glu Mobile Inc. common stock.
  7. The RSU vested as to 25% of the total number of shares subject to the RSU on May 15, 2014 (the "RSU First Vesting Date"), with the remaining 75% of the underlying shares vesting in equal quarterly installments over the next three years following the RSU First Vesting Date on the same day of each third month (e.g., the first quarterly vesting date was August 15, 2014, the next quarterly vesting date was November 15, 2014, etc.); provided, however, that if any portion of the RSU vests on a date that is a non-trading day on The NASDAQ Stock Market, then the RSU will vest on the next trading day.
  8. The RSU vested as to 25% of the total number of shares subject to the RSU on November 17, 2014 (the "RSU First Vesting Date"), with the remaining 75% of the underlying shares vesting in equal quarterly installments over the next three years following the RSU First Vesting Date on the same day of each third month (e.g., the first quarterly vesting date was February 15, 2015, the next quarterly vesting date was May 15, 2015, etc.); provided, however, that if any portion of the RSU vests on a date that is a non-trading day on The NASDAQ Stock Market, then the RSU will vest on the next trading day.
  9. The RSU vested as to 25% of the total number of shares subject to the RSU on November 16, 2015 (the "RSU First Vesting Date"), with the remaining 75% of the underlying shares vesting in equal quarterly installments over the next three years following the RSU First Vesting Date on the same day of each third month (e.g., the first quarterly vesting date was February 16, 2016, the next quarterly vesting date was May 15, 2016, etc.); provided, however, that if any portion of the RSU vests on a date that is a non-trading day on The NASDAQ Stock Market, then the RSU will vest on the next trading day.