Statement of Changes in Beneficial Ownership (4)
June 05 2015 - 5:22PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Nada Hany
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2. Issuer Name
and
Ticker or Trading Symbol
GLU MOBILE INC
[
GLUU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O GLU MOBILE INC., 500 HOWARD STREET, SUITE 300
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/4/2015
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(Street)
SAN FRANCISCO, CA 94105
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/4/2015
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A
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25000
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A
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$0
(1)
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45100
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D
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Common Stock
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1532913
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I
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See footnote
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$6.75
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6/4/2015
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A
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50000
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(3)
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6/4/2025
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Common Stock
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50000
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$0
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50000
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D
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Restricted Stock Units
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(4)
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6/4/2015
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A
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25000
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(5)
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(5)
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Common Stock
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25000
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$0
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25000
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D
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Explanation of Responses:
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(
1)
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Vesting of restricted stock units ("RSUs") granted to Mr. Nada on June 4, 2015.
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(
2)
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Represents (i) 29,889 shares held by GGV II Entrepreneurs Fund L.P. ("GGV") (Mr. Nada is a managing director of the general partner of GGV, which has six other individual managing directors, and shares voting and investment power with respect to the shares held by this entity with the other managing directors of the general partner) and (ii) 1,503,024 shares held by Granite Global Ventures II L.P. ("Granite Global") (Mr. Nada is a managing director of the general partner of Granite Global, which has six other individual managing directors, and shares voting and investment power with respect to the shares held by these entities with the other managing directors of the general partner). Mr. Nada disclaims beneficial ownership of these shares except to the extent of his individual pecuniary interest in this entity.
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(
3)
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The option is immediately exercisable and vests over 12 months, with 8.333% of the shares vesting on July 4, 2015 and the remaining shares vesting in equal monthly installments thereafter such that the option will be fully vested on the first to occur of (1) June 4, 2016 or (2) the date of the Glu Mobile Inc. 2016 Annual Meeting of Stockholders.
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(
4)
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Each restricted stock unit represents a contingent right to receive one share of Glu Mobile Inc. common stock.
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(
5)
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The restricted stock unit vests in full on the first to occur of (1) June 4, 2016 or (2) the date of the Glu Mobile Inc. 2016 Annual Meeting of Stockholders.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Nada Hany
C/O GLU MOBILE INC.
500 HOWARD STREET, SUITE 300
SAN FRANCISCO, CA 94105
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X
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Signatures
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/s/ Hany Nada
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6/5/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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