0001209191-13-049876.txt : 20131030
0001209191-13-049876.hdr.sgml : 20131030
20131030202224
ACCESSION NUMBER: 0001209191-13-049876
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131028
FILED AS OF DATE: 20131030
DATE AS OF CHANGE: 20131030
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: Ludwig Eric R
CENTRAL INDEX KEY: 0001392677
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33368
FILM NUMBER: 131180557
MAIL ADDRESS:
STREET 1: CO GLU MOBILE INC
STREET 2: 1800 GATEWAY DRIVE
CITY: SAN MATEO
STATE: CA
ZIP: 94404
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2013-10-28
0
0001366246
GLU MOBILE INC
GLUU
0001392677
Ludwig Eric R
GLU MOBILE INC.
500 HOWARD STREET, SUITE 300
SAN FRANCISCO
CA
94105
0
1
0
0
EVP and CFO
Common Stock
2013-10-28
4
M
0
23000
0.89
A
90638
D
Common Stock
2013-10-28
4
M
0
140000
0.99
A
230638
D
Common Stock
2013-10-28
4
S
0
163000
3.7005
D
67638
D
Common Stock
15064
I
Trust
Stock Option (right to buy)
0.89
2013-10-28
4
M
0
23000
0.00
D
2015-05-21
Common Stock
23000
0
D
Stock Option (right to buy)
0.99
2013-10-28
4
M
0
140000
0.00
D
2016-04-08
Common Stock
140000
60000
D
The stock option exercises and the sales 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 June 7, 2013.
Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $3.50 to $3.82. 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 over four years, with 25% of the underlying shares having vested and become exercisable on May 21, 2010, the first anniversary of the grant date, with the remaining underlying shares having vested and become exercisable in equal monthly installments over the following three years such that the option fully vested on May 21, 2013.
The option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on April 8, 2011, the first anniversary of the grant date, 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 April 8, 2014.
/s/ Eric R. Ludwig
2013-10-30