0001179110-19-011823.txt : 20191118 0001179110-19-011823.hdr.sgml : 20191118 20191118203305 ACCESSION NUMBER: 0001179110-19-011823 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191115 FILED AS OF DATE: 20191118 DATE AS OF CHANGE: 20191118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Earl Nicholas CENTRAL INDEX KEY: 0001660014 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33368 FILM NUMBER: 191228849 MAIL ADDRESS: STREET 1: C/O GLU MOBILE INC. STREET 2: 500 HOWARD STREET, 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 2019-11-15 0 0001366246 GLU MOBILE INC GLUU 0001660014 Earl Nicholas C/O GLU MOBILE INC. 875 HOWARD STREET, SUITE 100 SAN FRANCISCO CA 94103 1 1 0 0 President & CEO Common Stock 2019-11-15 4 M 0 31250 0 A 487529 D Common Stock 2019-11-15 4 F 0 16454 5.66 D 471075 D Restricted Stock Units 2019-11-15 4 M 0 31250 0 A Common Stock 31250 0 D Vesting of restricted stock units (RSUs) granted to Mr. Earl on December 9, 2015. 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 Form 4 were relinquished by Mr. Earl and cancelled by Glu Mobile Inc. ("Glu") in exchange for Glu's agreement to pay federal and state tax withholding obligations of Mr. Earl resulting from the vesting of RSUs. Mr. Earl did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes. Each RSU represents a contingent right to receive one share of Glu common stock. The RSU vested as to 25% of the total number of shares subject to the RSU on November 15, 2016 (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, 2017, the next quarterly vesting date was May 15, 2017, 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/ Nicholas Earl 2019-11-18