0001179110-18-010841.txt : 20180823 0001179110-18-010841.hdr.sgml : 20180823 20180823164309 ACCESSION NUMBER: 0001179110-18-010841 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180821 FILED AS OF DATE: 20180823 DATE AS OF CHANGE: 20180823 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: de Masi Niccolo CENTRAL INDEX KEY: 0001480011 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33368 FILM NUMBER: 181035170 MAIL ADDRESS: STREET 1: 500 HOWARD ST., SUITE 300 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 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: 875 HOWARD STREET, SUITE 100 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 BUSINESS PHONE: 415-800-6100 MAIL ADDRESS: STREET 1: 875 HOWARD STREET, SUITE 100 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 4 1 edgar.xml FORM 4 - X0306 4 2018-08-21 0 0001366246 GLU MOBILE INC GLUU 0001480011 de Masi Niccolo C/O GLU MOBILE INC. 875 HOWARD STREET, SUITE 100 SAN FRANCISCO CA 94103 1 1 0 0 Executive Chairman Common Stock 2018-08-21 4 M 0 267000 2.91 A 1044806 D Common Stock 2018-08-21 4 F 0 111956 6.94 D 932850 D Common Stock 2018-08-21 4 F 0 76871 6.94 D 855979 D Stock Option (right to buy) 2.91 2018-08-22 4 M 0 267000 0 A 2019-10-08 Common Stock 267000 0 D 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. These shares were withheld and cancelled by Glu Mobile Inc. ("Glu") at the market price of $6.94 per share less the exercise price of $2.91 to fund the cashless exercise of 267,000 options owned by Mr. de Masi. 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. These shares were relinquished by Mr. de Masi and cancelled by Glu in exchange for Glu's agreement to pay federal and state tax withholding obligations of Mr. de Masi resulting from the exercise of options. Mr. de Masi did not sell or otherwise dispose of any of these shares for any reason other than to cover required taxes. The option vested and became exercisable with respect to 25% of the shares on October 8, 2014, with the remaining shares vesting and becoming exercisable in equal monthly installments over the following three years. /s/ Niccolo M. de Masi 2018-08-23