As filed with the Securities and Exchange Commission on August 9, 2013
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Glu Mobile Inc.
(Exact Name of Registrant as Specified in Its Charter)
Delaware | 91-2143667 | |
(State or Other Jurisdiction of Incorporation or Organization) |
(I.R.S. Employer Identification No.) |
45 Fremont Street, Suite 2800
San Francisco, California 94105
(Address of Principal Executive Offices)
Amended and Restated 2007 Equity Incentive Plan
2008 Equity Inducement Plan
(Full Titles of the Plans)
Niccolo M. de Masi
President and Chief Executive Officer
Glu Mobile Inc.
45 Fremont Street, Suite 2800
San Francisco, California 94105
(415) 800-6100
(Name and Address of Agent For Service)
Copies to:
Scott J. Leichtner, Esq. Vice President and General Counsel Glu Mobile Inc. 45 Fremont Street, Suite 2800 San Francisco, California 94105 |
David A. Bell, Esq. Fenwick & West LLP Silicon Valley Center 801 California Street Mountain View, CA 94041 |
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of large accelerated filer, accelerated filer and smaller reporting company in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer | ¨ | Accelerated filer | þ | |||
Non-accelerated filer | ¨ (Do not check if a smaller reporting company) | Smaller reporting company | ¨ |
CALCULATION OF REGISTRATION FEE
| ||||||||
Title of each class of securities to be registered |
Amount to be Registered (1) |
Proposed maximum offering price per unit |
Proposed maximum aggregate offering price |
Amount of registration fee | ||||
Common Stock, $0.0001 par value |
7,200,000 (2) | $2.42(4) | $17,424,000 | $2,376.63 | ||||
Common Stock, $0.0001 par value |
200,000 (3) | $2.42(4) | 484,000 | 66.02 | ||||
Total: |
7,400,000 | $17,908,000 | $2,442.65 | |||||
| ||||||||
|
(1) | Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the Securities Act), this Registration Statement shall also cover any additional shares of the Registrants common stock that become issuable under the Amended and Restated 2007 Equity Incentive Plan and 2008 Equity Inducement Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the receipt of consideration that increases the number of the Registrants outstanding shares of common stock. |
(2) | Represents an increase in the number of shares available for issuance under the Amended and Restated 2007 Equity Incentive Plan. This increase was effective as of June 6, 2013. |
(3) | Represents an increase in the number of shares available for issuance under the 2008 Equity Inducement Plan. This increase was effective as of May 14, 2013. |
(4) | Estimated solely for the purpose of calculating the registration fee in accordance with Rules 457(c) and 457(h) under the Securities Act of 1933, and based upon the average of the high and low sales prices of the Registrants common stock as reported by the NASDAQ Global Market on August 7, 2013. |
REGISTRATION OF ADDITIONAL SHARES
PURSUANT TO GENERAL INSTRUCTION E
Pursuant to General Instruction E of Form S-8, Glu Mobile Inc. (the Registrant) is filing this registration statement with the Securities and Exchange Commission (the Commission) to register (1) an additional 7,200,000 shares reserved for issuance under its Amended and Restated 2007 Employee Stock Purchase Plan and (2) an additional 200,000 shares reserved for issuance under its 2008 Equity Inducement Plan. The contents of the following registration statements on Form S-8 filed by the Registrant with the Commission are incorporated by reference in this registration statement on Form S-8:
Registration No. |
Plan(s) Covered |
Date Filed | ||||
333-187311 |
2008 Equity Inducement Plan 2007 Employee Stock Purchase Plan |
03/15/2013 | ||||
333-176318 |
2008 Equity Inducement Plan | 08/15/2011 | ||||
333-172983 |
2007 Equity Incentive Plan 2007 Employee Stock Purchase Plan |
03/21/2011 | ||||
333-165813 |
2008 Equity Inducement Plan 2007 Equity Incentive Plan 2007 Employee Stock Purchase Plan |
03/31/2010 | ||||
333-157959 (Post-Effective Amendment No. 1) |
2007 Equity Incentive Plan 2007 Employee Stock Purchase Plan |
03/18/2009 | ||||
333-157959 |
2007 Equity Incentive Plan 2007 Employee Stock Purchase Plan |
03/13/2009 | ||||
333-149996 |
2008 Equity Inducement Plan 2007 Equity Incentive Plan 2007 Employee Stock Purchase Plan |
03/31/2008 | ||||
333-141487 |
2007 Equity Incentive Plan 2007 Employee Stock Purchase Plan |
03/22/2007 |
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits.
The exhibits listed on the Exhibit Index (following the Signatures section of this Registration Statement) are incorporated by reference in this Registration Statement.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of San Francisco, State of California, on August 9, 2013.
GLU MOBILE INC. | ||
By: | /s/ Niccolo M. de Masi | |
Niccolo M. de Masi | ||
President and Chief Executive Officer |
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Niccolo M. de Masi, Eric R. Ludwig and Scott J. Leichtner, and each of them acting individually, as his or her attorney-in-fact, each with full power of substitution, for him or her in any and all capacities, to sign any and all amendments to this Registration Statement on Form S-8, and to file the same, with exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that each of said attorneys-in-fact, or any substitute, may do or cause to be done by virtue hereof. This Power of Attorney may be executed in any number of counterparts, each of which when so executed and delivered shall be deemed an original, and such counterparts shall together constitute one and the same instrument.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the date indicated:
Signature |
Title |
Date | ||
Principal Executive Officer: | ||||
/s/ Niccolo M. de Masi |
President, Chief Executive Officer and Director | August 9, 2013 | ||
Niccolo M. de Masi |
||||
Principal Financial and Accounting Officer: | ||||
/s/ Eric R. Ludwig |
Executive Vice President and Chief Financial Officer | August 9, 2013 | ||
Eric R. Ludwig |
||||
Additional Directors: | ||||
/s/ William J. Miller |
Chairman of the Board | August 9, 2013 | ||
William J. Miller |
||||
/s/ Lorne Abony |
Director | August 9, 2013 | ||
Lorne Abony |
Director | ||||
Ann Mather |
||||
/s/ Hany M. Nada |
Director | August 9, 2013 | ||
Hany M. Nada |
||||
/s/ A. Brooke Seawell |
Director | August 9, 2013 | ||
A. Brooke Seawell |
||||
/s/ Benjamin T. Smith, IV |
Director | August 9, 2013 | ||
Benjamin T. Smith, IV |
EXHIBIT INDEX
Incorporated by Reference | ||||||||||||
Exhibit Number |
Exhibit Description |
Form | File No. | Exhibit | Filing Date |
Filed Herewith | ||||||
4.01 |
Restated Certificate of Incorporation of the Registrant. | S-1/A | 333-139493 | 3.02 | 02/14/2007 | |||||||
4.02 |
Amended and Restated Bylaws of the Registrant. | 8-K | 001-33368 | 99.01 | 10/28/2008 | |||||||
4.03 |
2007 Equity Incentive Plan, as amended and restated on June 6, 2013. | 8-K | 001-33368 | 99.01 | 06/10/2013 | |||||||
4.04 |
For the 2007 Equity Incentive Plan, forms of (a) Notice of Stock Option Grant, Stock Option Award Agreement and Stock Option Exercise Agreement, (b) Notice of Restricted Stock Award and Restricted Stock Agreement, (c) Notice of Stock Appreciation Right Award and Stock Appreciation Right Award Agreement, and (d) Notice of Stock Bonus Award and Stock Bonus Agreement. | S-1/A | 333-139493 | 10.03 | 02/16/2007 | |||||||
4.05 |
Forms of Stock Option Award Agreement (Immediately Exercisable) and Stock Option Exercise Agreement (Immediately Exercisable) under the Glu Mobile Inc. 2007 Equity Incentive Plan. | 10-Q | 001-33368 | 10.05 | 08/14/2008 | |||||||
4.06 |
Notice of Restricted Stock Unit Award and Restricted Stock Unit Agreement under the 2007 Equity Incentive Plan. | 10-Q | 001-33368 | 10.08 | 08/09/2013 | |||||||
4.07 |
2008 Equity Inducement Plan, as amended and restated on May 14, 2013. | 8-K | 001-33368 | 99.01 | 03/17/2013 | |||||||
4.08 |
Forms of Notice of Stock Option Grant, Stock Option Award Agreement and Stock Option Exercise Agreement under the 2008 Equity Inducement Plan. | 10-K | 001-33368 | 10.05(B) | 03/31/2010 | |||||||
4.09 |
Form of Specimen Certificate for Common Stock | S-1/A | 333-139493 | 4.01 | 02/14/2007 | |||||||
5.01 |
Opinion of Scott J. Leichtner, General Counsel to Registrant. | X | ||||||||||
23.01 |
Consent of Scott J. Leichtner (included in Exhibit 5.01). | X | ||||||||||
23.02 |
Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm. | X | ||||||||||
24.01 |
Power of Attorney (see signature page of this Registration Statement). | X |
EXHIBIT 5.01
August 9, 2013
Glu Mobile Inc.
45 Fremont Street
Suite 2800
San Francisco, CA 94105
Ladies and Gentlemen:
I serve as General Counsel to Glu Mobile Inc., a Delaware corporation (the Company), and have served as the Companys General Counsel in connection with the registration on Form S-8 (the Registration Statement) under the Securities Act of 1933, as amended, of the following shares of the Companys common stock, $0.0001 par value per share (the Shares): up to 7,200,000 of such Shares to be issued or delivered pursuant to the Glu Mobile Inc. 2007 Equity Incentive Plan (the 2007 Plan), and up to 200,000 of such Shares to be issued or delivered pursuant to the Glu Mobile Inc. 2008 Equity Inducement Plan (the Inducement Plan and, together with the 2007 Plan, the Plans and each individually a Plan).
In connection with this opinion, I have reviewed and am familiar with, originals or copies, certified or otherwise identified to my satisfaction, of such documents as I have deemed necessary or appropriate as a basis for the opinion set forth below including (1) the Registration Statement, (2) the prospectuses prepared in connection with the Registration Statement (each a Prospectus), (3) the Plans and the forms of agreements and documents related thereto, (4) the Certificate of Incorporation and Bylaws of the Company, each as amended to date, (5) a confirmation from the Companys transfer agent as to the number of outstanding shares of the Companys capital stock, dated as of August 8, 2013, (6) a list of the Companys option and warrant holders and of any other rights to purchase the Companys capital stock as of August 8, 2013 and (7) resolutions of the Companys board of directors and stockholders relating to the Plans. In rendering the opinion expressed herein, I have assumed the genuineness of all signatures, the authenticity of all documents, instruments and certificates purporting to be originals, the conformity with the original documents, instruments and certificates of all documents, instruments and certificates purporting to be copies, and the legal capacity to sign of all individuals executing documents, instruments and certificates.
Based upon and subject to the foregoing and the effectiveness of the Registration Statement, I am of the opinion that when the Shares are issued, sold and delivered (and the consideration therefor received) pursuant to the Plans and the provisions of the agreements to be entered into under the Plans, and in the manner and for the consideration stated in the Registration Statement and the relevant Prospectus, such Shares will be validly issued, fully paid and nonassessable.
I hereby consent to the filing of this opinion letter as Exhibit 5.01 to the Registration Statement.
This opinion letter is rendered as of the date first written above and I disclaim any obligation to advise you of facts, circumstances, events or developments which hereafter may be brought to my attention and which may alter, affect or modify the opinion expressed herein. My opinion is expressly limited to the matters set forth above and I render no opinion, whether by implication or otherwise, as to any other matters relating to the Company, the Plans or the Shares.
Very truly yours, |
/s/ Scott J. Leichtner |
Scott J. Leichtner Vice President and General Counsel, Glu Mobile Inc. |
EXHIBIT 23.02
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We hereby consent to the incorporation by reference in this Registration Statement on Form S-8 of our report dated March 15, 2013, except for the restatement described in Note 1A to the consolidated financial statements and the matters described in the second paragraph of Managements Report on Internal Control over Financial Reporting as to which the date is August 9, 2013, relating to the financial statements and the effectiveness of internal control over financial reporting, which appears in Glu Mobile Inc.s Annual Report on Form 10-K/A (Amendment No. 1) for the year ended December 31, 2012.
/s/ PricewaterhouseCoopers LLP
San Jose, California
August 9, 2013