0001209191-14-051265.txt : 20140807
0001209191-14-051265.hdr.sgml : 20140807
20140807191523
ACCESSION NUMBER: 0001209191-14-051265
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140805
FILED AS OF DATE: 20140807
DATE AS OF CHANGE: 20140807
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: 141025280
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
2014-08-05
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
2014-08-05
4
M
0
8334
0.99
A
65334
D
Common Stock
2014-08-05
4
S
0
8334
5.2686
D
57000
D
Common Stock
2014-08-05
4
M
0
40728
1.77
A
97728
D
Common Stock
2014-08-05
4
S
0
40728
5.2686
D
57000
D
Common Stock
2014-08-06
4
M
0
19500
1.77
A
76500
D
Common Stock
2014-08-06
4
S
0
19500
5.2615
D
57000
D
Common Stock
2014-08-07
4
M
0
53937
1.77
A
110937
D
Common Stock
2014-08-07
4
S
0
53937
5.3277
D
57000
D
Common Stock
2014-08-07
4
M
0
46863
2.03
A
103863
D
Common Stock
2014-08-07
4
S
0
46863
5.3277
D
57000
D
Common Stock
10832
I
Trust
Stock Option (right to buy)
0.99
2014-08-05
4
M
0
8334
0.00
A
2016-04-08
Common Stock
8334
0
D
Stock Option (right to buy)
1.77
2014-08-05
4
M
0
40728
0.00
A
2016-10-21
Common Stock
40728
81771
D
Stock Option (right to buy)
1.77
2014-08-06
4
M
0
19500
0.00
A
2016-10-21
Common Stock
19500
62271
D
Stock Option (right to buy)
1.77
2014-08-07
4
M
0
53937
0.00
A
2016-10-21
Common Stock
53937
8334
D
Stock Option (right to buy)
2.03
2014-08-07
4
M
0
46863
0.00
A
2017-01-03
Common Stock
46863
19804
D
The stock option exercise and the sale 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 March 7, 2014.
Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $5.25 to $5.34. 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.
Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $5.25 to $5.27. 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.
Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $5.25 to $5.45. 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 with respect to 25% of the shares on April 8, 2011 and the remaining shares vested and became exercisable in equal monthly installments over the following three years, such that the option fully vested on April 8, 2014.
The option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on October 21, 2011, 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 October 21, 2014.
/s/ Eric R. Ludwig
2014-08-07