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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ludwig Eric R GLU MOBILE INC. 45 FREMONT STREET, SUITE 2800 SAN FRANCISCO, CA 94105 |
 |  |  EVP and CFO |  |
/s/ Eric R. Ludwig | 02/14/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents a bona fide gift from Mr. Ludwig to his nephew, who is not financially dependent on, and does not share a household with, Mr. Ludwig. |
(2) | In a Form 4 filed on February 24, 2011, Mr. Ludwig reported that he directly beneficially owned 57,000 shares of the common stock of Glu Mobile Inc. ("Glu"). Mr. Ludwig subsequently purchased an aggregate of 15,010 shares of Glu's common stock under Glu's Employee Stock Purchase Plan on August 19, 2011 and February 21, 2012 in transactions exempt from reporting under Rule 16b-3(c) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), increasing his direct beneficial ownership of Glu's common stock to 72,010 shares. |
(3) | 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. |
(4) | Includes 194 shares purchased by Mr. Ludwig on August 21, 2012 under Glu's Employee Stock Purchase Plan, which purchase was exempt from reporting under Rule 16b-3(c) promulgated under the Exchange Act. |