0001179110-18-008665.txt : 20180615
0001179110-18-008665.hdr.sgml : 20180615
20180615195525
ACCESSION NUMBER: 0001179110-18-008665
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180615
FILED AS OF DATE: 20180615
DATE AS OF CHANGE: 20180615
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: de Masi Niccolo
CENTRAL INDEX KEY: 0001480011
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33368
FILM NUMBER: 18903437
MAIL ADDRESS:
STREET 1: 500 HOWARD ST., SUITE 300
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
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: 875 HOWARD STREET, SUITE 100
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94103
BUSINESS PHONE: 415-800-6100
MAIL ADDRESS:
STREET 1: 875 HOWARD STREET, SUITE 100
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94103
4
1
edgar.xml
FORM 4 -
X0306
4
2018-06-15
0
0001366246
GLU MOBILE INC
GLUU
0001480011
de Masi Niccolo
C/O GLU MOBILE INC.
875 HOWARD STREET, SUITE 100
SAN FRANCISCO
CA
94103
1
1
0
0
Executive Chairman
Common Stock
2018-06-15
4
M
0
475000
3.29
A
1088775
D
Common Stock
2018-06-15
4
F
0
243419
6.42
D
845356
D
Common Stock
2018-06-15
4
F
0
114818
6.42
D
730538
D
Stock Option (right to buy)
3.29
2018-06-15
4
M
0
475000
0
A
2018-10-09
Common Stock
475000
0
D
Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. These shares were withheld and cancelled by Glu Mobile Inc. ("Glu") at the market price of $6.42 per share less the exercise price of $3.29 to fund the cashless exercise of 475,000 options owned by Mr. de Masi.
Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. These shares were relinquished by Mr. de Masi and cancelled by Glu in exchange for Glu's agreement to pay federal and state tax withholding obligations of Mr. de Masi resulting from the exercise of Options. Mr. de Masi did not sell or otherwise dispose of any of these shares for any reason other than to cover required taxes.
The option vested and became exercisable with respect to 25% of the shares on October 9, 2013, with the remaining shares vesting and becoming exercisable in equal monthly installments over the following three years.
/s/ Niccolo M. de Masi
2018-06-15