SEC Form 4 · accession 0001179110-18-012117
GLU MOBILE INC · GLUU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann Mather
Director
Period of report
Oct 8, 2018
Accepted (ET)
Oct 10, 2018 · 5:34 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 Stock | Oct 8, 2018 | M | 50,000 | $2.40 | A | 103,666 | D | |
| Common StockF2 | Oct 8, 2018 | S | 50,000 | $6.307 | D | 53,666 | D | |
| Common Stock | Oct 8, 2018 | M | 50,000 | $2.63 | A | 103,666 | D | |
| Common StockF2 | Oct 8, 2018 | S | 50,000 | $6.307 | D | 53,666 | 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)F3 | $2.40 | Oct 8, 2018 | M | 50,000 | D | — | Jun 6, 2019 | Common Stock | 50,000 | 0 | D |
| Stock Option (right to buy)F4 | $2.63 | Oct 8, 2018 | M | 50,000 | D | — | Jun 8, 2027 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1The sale was effected pursuant to a trading plan designed to comply with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended, that Ms. Mather entered into on September 5, 2018.
- F2Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $6.06 to $6.85. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares sold at each separate price.
- F3The option vested over a 12 month period, with 8.333% of the shares becoming exercisable on July 6, 2013, the one month anniversary of the vesting commencement date, and the remaining shares vesting and becoming exercisable in 11 equal monthly installments thereafter, such that the option was fully vested on June 6, 2014.
- F4The option vested and became fully exercisable on June 8, 2018, the first anniversary of the option grant date.