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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) | $ 0.711 | 03/22/2012 | M | 17,187 | (4) | 04/14/2015 | Common Stock | 25,000 | $ 0 | 7,813 | D | ||||
Stock Option (right to buy) | $ 0.78 | 03/22/2012 | M | 2,962 | (5) | 05/21/2015 | Common Stock | 3,333 | $ 0 | 371 | D | ||||
Stock Option (right to buy) | $ 0.78 | 03/22/2012 | M | 2,962 | (5) | 05/21/2015 | Common Stock | 3,333 | $ 0 | 371 | D | ||||
Stock Option (right to buy) | $ 0.78 | 03/22/2012 | M | 80 | (5) | 05/21/2015 | Common Stock | 90 | $ 0 | 10 | D | ||||
Stock Option (right to buy) | $ 0.78 | 03/22/2012 | M | 5,845 | (5) | 05/21/2015 | Common Stock | 6,576 | $ 0 | 731 | D | ||||
Stock Option (right to buy) | $ 0.78 | 03/22/2012 | M | 3,648 | (5) | 05/21/2015 | Common Stock | 4,104 | $ 0 | 456 | D | ||||
Stock Option (right to buy) | $ 1.0648 | 03/22/2012 | M | 15,000 | (6) | 12/16/2015 | Common Stock | 15,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 1.19 | 03/22/2012 | M | 43,750 | (7) | 04/13/2016 | Common Stock | 100,000 | $ 0 | 56,250 | D | ||||
Stock Option (right to buy) | $ 1.3 | 03/23/2012 | M | 46,875 | (8) | 07/15/2016 | Common Stock | 125,000 | $ 0 | 78,125 | D | ||||
Stock Option (right to buy) | $ 1.77 | 03/23/2012 | M | 33,853 | (9) | 10/21/2016 | Common Stock | 108,333 | $ 0 | 74,480 | D | ||||
Stock Option (right to buy) | $ 2.03 | 03/23/2012 | M | 28,645 | (10) | 01/03/2017 | Common Stock | 91,667 | $ 0 | 63,022 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
IYER KAL C/O GLU MOBILE INC. 45 FREMONT STREET, SUITE 2800 SAN FRANCISCO, CA 94105 |
Sr. VP, Research & Development |
/s/ Kal Iyer | 03/23/2012 | |
**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) | The stock option exercises and the sales of the underlying option shares were effected pursuant to a trading plan designed to comply with Rule 10b5-1 of the Securities Exchange Act of 1934 that Mr. Iyer entered into on February 15, 2012. All of the shares covered by Mr. Iyer's Rule 10b5-1 plan have been sold and, accordingly, Mr. Iyer's Rule 10b5-1 plan has terminated in accordance with its terms. |
(2) | Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $4.00 to $4.245. 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. |
(3) | Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $4.30 to $4.42. 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. |
(4) | The option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on April 14, 2010, the first anniversary of the grant date, and the remaining underlying shares vesting and becoming exercisable in equal monthly installments over the following three years. |
(5) | The option was granted on May 21, 2009 and vests and becomes exercisable in equal monthly installments over three years. |
(6) | The option vested and became exercisable with respect to 100% of the underlying shares on December 16, 2010. |
(7) | The option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on April 13, 2011, the first anniversary of the grant date, and the remaining underlying shares vesting and becoming exercisable in equal monthly installments over the following three years. |
(8) | The option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on July 15, 2011, the first anniversary of the grant date, and the remaining underlying shares vesting and becoming exercisable in equal monthly installments over the following three years. |
(9) | The option vests and becomes exercisable over four years, with 25% of the underlying shares having vested and become exercisable on October 20, 2011, the first anniversary of the grant date, and the remaining underlying shares vesting and becoming exercisable in equal monthly installments over the following three years. |
(10) | The option vested and became exercisable with respect to 25% of the underlying shares on October 21, 2011 and the remaining underlying shares vest and become exercisable in equal monthly installments over the following three years. |