0001179110-16-028802.txt : 20160817 0001179110-16-028802.hdr.sgml : 20160817 20160817184944 ACCESSION NUMBER: 0001179110-16-028802 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160815 FILED AS OF DATE: 20160817 DATE AS OF CHANGE: 20160817 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLU MOBILE INC CENTRAL INDEX KEY: 0001366246 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 HOWARD STREET, SUITE 300 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-800-6100 MAIL ADDRESS: STREET 1: 500 HOWARD STREET, SUITE 300 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cannon Gregory J. CENTRAL INDEX KEY: 0001589951 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33368 FILM NUMBER: 161839693 MAIL ADDRESS: STREET 1: C/O GLU MOBILE INC. STREET 2: 45 FREMONT STREET, SUITE 2800 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 4 1 edgar.xml FORM 4 - X0306 4 2016-08-15 0 0001366246 GLU MOBILE INC GLUU 0001589951 Cannon Gregory J. C/O GLU MOBILE INC. 500 HOWARD STREET, SUITE 300 SAN FRANCISCO CA 94105 0 1 0 0 Vice President, Finance and IR Common Stock 2016-08-15 4 A 0 1250 0 A 85020 D Common Stock 2016-08-15 4 F 0 470 2.26 D 84550 D Common Stock 2016-08-15 4 A 0 3709 0 A 88259 D Common Stock 2016-08-15 4 F 0 1394 2.26 D 86865 D Common Stock 2016-08-15 4 A 0 4687 0 A 91552 D Common Stock 2016-08-15 4 F 0 1762 2.26 D 89790 D Common Stock 2016-08-16 4 S 0 6020 2.24 D 83770 D Restricted Stock Units 2016-08-15 4 M 0 1250 0 D Common Stock 1250 3750 D Restricted Stock Units 2016-08-15 4 M 0 3709 0 D Common Stock 3709 18544 D Restricted Stock Units 2016-08-15 4 M 0 4687 0 D Common Stock 4687 42188 D Vesting of restricted stock units ("RSUs") granted to Mr. Cannon on May 14, 2013. 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. Vesting of RSUs granted to Mr. Cannon on October 8, 2013. Vesting of RSUs granted to Mr. Cannon on October 14, 2014. 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. Each RSU represents a contingent right to receive one share of Glu Mobile Inc. common stock. 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. 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. 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. /s/ Gregory J. Cannon 2016-08-17