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