0001179110-19-006324.txt : 20190517 0001179110-19-006324.hdr.sgml : 20190517 20190517173244 ACCESSION NUMBER: 0001179110-19-006324 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190515 FILED AS OF DATE: 20190517 DATE AS OF CHANGE: 20190517 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: 19836969 MAIL ADDRESS: STREET 1: CO GLU MOBILE INC STREET 2: 1800 GATEWAY DRIVE CITY: SAN MATEO STATE: CA ZIP: 94404 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 2019-05-15 0 0001366246 GLU MOBILE INC GLUU 0001392677 Ludwig Eric R C/O GLU MOBILE INC. 875 HOWARD STREET, SUITE 100 SAN FRANCISCO CA 94103 0 1 0 0 EVP, COO and CFO Common Stock 2019-05-15 4 M 0 20938 0 A 81489 D Common Stock 2019-05-15 4 F 0 11297 8.79 D 70192 D Common Stock 2019-02-22 4 G 0 3551 0 D 66641 D Common Stock 2019-02-22 4 G 0 3551 0 A 320589 I Trust Restricted Stock Units 2019-05-15 4 M 0 20938 0 A Common Stock 20938 41875 D Vesting of restricted stock units (RSUs) granted to Mr. Ludwig on October 13, 2015. Includes 3,551 shares acquired pursuant to Glu Mobile Inc.'s 2007 Employee Stock Purchase Plan on February 21, 2019, 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 these shares reported were relinquished by Mr. Ludwig and cancelled by Glu Mobile Inc. ("Glu") in exchange for Glu's agreement to pay federal and state tax withholding obligations of Mr. Ludwig resulting from the vesting of RSUs. Mr. Ludwig did not sell or otherwise dispose of any of these shares for any reason other than to cover required taxes. 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. These shares are held by the Ludwig McKillop Trust, of which the reporting person and his wife, Mary Elizabeth McKillop, are the co-trustees. 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 November 15, 2016 (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 February 15, 2017, the next quarterly vesting date was May 15, 2017, 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/ Eric R. Ludwig 2019-05-17