Filing Details

Accession Number:
0001214659-20-007700
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-09-04 20:30:17
Reporting Period:
2020-09-03
Accepted Time:
2020-09-04 20:30:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1366246 Glu Mobile Inc GLUU Services-Computer Programming Services (7371) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1392677 R Eric Ludwig C/o Glu Mobile Inc.
875 Howard Street, Suite 100
San Francisco CA 94103
Evp, Coo And Cfo No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-09-03 229,981 $2.13 290,301 No 4 M Direct
Common Stock Disposition 2020-09-03 229,981 $0.00 60,320 No 4 G Direct
Common Stock Acquisiton 2020-09-03 229,981 $0.00 417,674 No 4 G Indirect Trust
Common Stock Disposition 2020-09-03 229,981 $7.62 187,693 No 4 S Indirect Trust
Common Stock Disposition 2020-09-04 3,320 $0.00 57,000 No 4 G Direct
Common Stock Acquisiton 2020-09-04 3,320 $0.00 191,013 No 4 G Indirect Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 G Direct
No 4 G Indirect Trust
No 4 S Indirect Trust
No 4 G Direct
No 4 G Indirect Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2020-09-03 229,981 $0.00 229,981 $2.13
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
420,019 2026-10-11 No 4 M Direct
Footnotes
  1. The transaction was effected automatically upon the satisfaction of certain trading price conditions under a trading plan entered into on June 5, 2020 and designed to comply with Rule 10b5-1 of the Securities Exchange Act of 1934 (as amended).
  2. Includes 3,320 shares acquired pursuant to Glu Mobile Inc.'s 2007 Employee Stock Purchase Plan on August 21, 2020, which purchase was exempt from reporting Rule 16b-3(c) promulgated under the Securities Exchange Act of 1934, as amended
  3. Represents a transfer of shares to the Ludwig McKillop Trust, of which the reporting person and his wife, Mary Elizabeth McKillop, are the co-trustees.
  4. These shares are held by the Ludwig McKillop Trust, of which the reporting person and his wife, Mary Elizabeth McKillop, are the co-trustees.
  5. Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $7.30 to $7.81. 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 purchased at each separate price.
  6. The option vested and became exercisable with respect to 25% of the shares on October 11, 2017, with the remaining shares vested and exercisable in equal monthly installments over the following three years.