0001179110-18-012967.txt : 20181116 0001179110-18-012967.hdr.sgml : 20181116 20181116174459 ACCESSION NUMBER: 0001179110-18-012967 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181115 FILED AS OF DATE: 20181116 DATE AS OF CHANGE: 20181116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee Gordon S CENTRAL INDEX KEY: 0001635648 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33368 FILM NUMBER: 181190816 MAIL ADDRESS: STREET 1: C/O TWITTER, INC. STREET 2: 1355 MARKET STREET, SUITE 900 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 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 2018-11-15 0 0001366246 GLU MOBILE INC GLUU 0001635648 Lee Gordon S C/O GLU MOBILE INC. 875 HOWARD STREET, SUITE 100 SAN FRANCISCO CA 94103 0 1 0 0 Vice President of Accounting Common Stock 2018-11-15 4 M 0 7813 0 A 18204 D Common Stock 2018-11-15 4 F 0 3874 7.55 D 14330 D Restricted Stock Units 2018-11-15 4 M 0 7813 0 A Common Stock 7813 78125 D Vesting of restricted stock units (RSUs) granted to Mr. Lee on April 11, 2017. Includes 6,453 shares acquired pursuant to Glu Mobile Inc.'s 2007 Employee Stock Purchase Plan on August 21, 2018, which purchase was exempt from reporting Rule 16b-3(c) promulgated under the Securities Exchange Act of 1934, as amended. 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. All of the shares reported as disposed of in this Form 4 were relinquished by Mr. Lee and cancelled by Glu Mobile Inc. ("Glu") in exchange for Glu's agreement to pay federal and state tax withholding obligations of Mr. Lee resulting from the vesting of RSUs. Mr. Lee did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes. Each RSU represents a contingent right to receive one share of Glu common stock. The RSU vested as to 25% of the total number of shares subject to the RSU on May 15, 2018 (the "RSU First Vesting Date"), with the remaining 75% of the underlying shares vesting in equal quarterly installments over the next three years following the RSU First Vesting Date on the same day of each third month (e.g., the first quarterly vesting date was August 15, 2018, the next quarterly vesting date was November 15, 2018, etc.); provided, however, that if any portion of the RSU vests on a date that is a non-trading day on The NASDAQ Stock Market, then the RSU will vest on the next trading day. /s/ Gordon S. Lee 2018-11-16