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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 Following Reported Transaction(s) (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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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 0.99 | 02/27/2014 | M | 20,000 | (5) | 07/14/2015 | Common Stock | 20,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 1.19 | 02/27/2014 | M | 20,000 | (6) | 04/13/2016 | Common Stock | 20,000 | $ 0 | 10,000 | D | ||||
Stock Option (right to buy) | $ 1.19 | 02/28/2014 | M | 8,750 | (6) | 04/13/2016 | Common Stock | 8,750 | $ 0 | 1,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Leichtner Scott C/O GLU MOBILE INC. 500 HOWARD STREET, SUITE 300 SAN FRANCISCO, CA 94105 |
VP AND GENERAL COUNSEL |
/s/ Scott J. Leichtner | 02/28/2014 | |
**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 weighted average, as this transaction was executed in two trades as follows: 33,621 shares sold at a price of $5.00 and 200 shares sold at a price of $5.005. |
(2) | In a Form 3 filed on April 11, 2012, Mr. Leichtner reported that he beneficially owned 28,715 shares of the common stock of Glu Mobile Inc. ("Glu"). Mr. Leichtner subsequently acquired 5,106 shares of Glu on August 21, 2012, 9,469 shares on August 21, 2013 and 10,612 shares on February 21, 2014, all pursuant to Glu's 2007 Employee Stock Purchase Plan, which purchases were exempt from reporting under Rule 16b-3(c) promulgated under the Securities Exchange Act of 1934, as amended. The amount of securities beneficially owned by Mr. Leichtner following this transaction takes into account these purchases. |
(3) | Represents a weighted average, as this transaction was executed in two trades as follows: 18,900 shares sold at a price of $5.00 and 1,100 shares sold at a price of $5.005. |
(4) | Represents a weighted average, as this transaction was executed in two trades as follows: 19,900 shares sold at a price of $5.08 and 100 shares sold at a price of $5.085. |
(5) | This option vested and became exercisable over four years, with 25% of the underlying shares having vested and become exercisable on June 30, 2010, with the remaining underlying shares having vested and become exercisable in equal monthly installments over the following three years, such that the option fully vested on June 30, 2013. |
(6) | This option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on April 13, 2011, with the remaining underlying shares vesting and becoming exercisable in equal monthly installments over the following three years, such that the option fully vests on April 13, 2014. |