SEC Form 4 · accession 0001179110-17-008820
GLU MOBILE INC · GLUU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benjamin T. Smith IV
Director
Period of report
Jun 2, 2017
Accepted (ET)
Jun 9, 2017 · 4:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001366246
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 2, 2017 | A | 25,000 | $0.00 | A | 104,149 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $2.63 | Jun 8, 2017 | A | 50,000 | A | — | Jun 8, 2027 | Common Stock | 50,000 | 50,000 | D |
| Restricted Stock UnitsF3,F4 | — | Jun 8, 2017 | A | 25,000 | A | — | — | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Vesting of restricted stock units ("RSUs") granted to Mr. Smith on June 2, 2016.
- F2The option is immediately exercisable and vests in full on the first to occur of (1) June 8, 2018 or (2) the date of the Glu Mobile Inc. 2018 Annual Meeting of Stockholders
- F3Each restricted stock unit represents a contingent right to receive one share of Glu Mobile Inc. common stock.
- F4The RSU vests in full on the first to occur of (1) June 8, 2018 or (2) the date of the Glu Mobile Inc. 2018 Annual Meeting of Stockholders.