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