Glu Mobile Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-14: Reporting owner Earl Nicholas; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-11: Reporting owner Cannon Gregory J.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-11: Reporting owner Leichtner Scott; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-11: Reporting owner Akhavan Chris; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-14 | Earl Nicholas Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +650,000 650,000 owned after | $2.10 exercise price | 2016-11-16 | |
| 2016-10-11 | Cannon Gregory J. Officer (Vice President, Finance and IR) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $2.13 exercise price | 2016-10-13 | |
| 2016-10-11 | Leichtner Scott Officer (VP and General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $2.13 exercise price | 2016-10-13 | |
| 2016-10-11 | Akhavan Chris Officer (Chief Revenue Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 450,000 owned after | $2.13 exercise price | 2016-10-13 | |
| 2016-10-11 | Wilson Tim Officer (Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 450,000 owned after | $2.13 exercise price | 2016-10-13 | |
| 2016-10-11 | Earl Nicholas Officer (President of Global Studios) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +850,000 850,000 owned after | $2.13 exercise price | 2016-10-13 | |
| 2016-10-11 | Ludwig Eric R Officer (EVP, COO and CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +850,000 850,000 owned after | $2.13 exercise price | 2016-10-13 | |
| 2016-07-28 | Smith Benjamin T. IV Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −60,000 0 owned after | $1.60 exercise price | 2016-07-29 | |
| 2016-07-28 | de Masi Niccolo Director, Officer (Chairman and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,778 0 owned after | $1.77 exercise price | 2016-07-29 | |
| 2016-07-28 | de Masi Niccolo Director, Officer (Chairman and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,723 0 owned after | $2.03 exercise price | 2016-07-29 | |
| 2016-07-28 | Leichtner Scott Officer (VP and General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 0 owned after | $1.34 exercise price | 2016-07-29 | |
| 2016-07-28 | Ludwig Eric R Officer (EVP, COO and CFO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,334 0 owned after | $1.77 exercise price | 2016-07-29 | |
| 2016-07-28 | Ludwig Eric R Officer (EVP, COO and CFO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,804 0 owned after | $2.03 exercise price | 2016-07-29 | |
| 2016-07-14 | Cannon Gregory J. Officer (Vice President, Finance and IR) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −54,999 0 owned after | $1.34 exercise price | 2016-07-18 | |
| 2016-07-13 | Cannon Gregory J. Officer (Vice President, Finance and IR) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1 54,999 owned after | $1.34 exercise price | 2016-07-18 | |
| 2016-06-02 | Brandeau Greg Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.41 exercise price | 2016-06-06 | |
| 2016-06-02 | Smith Benjamin T. IV Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.41 exercise price | 2016-06-06 | |
| 2016-06-02 | MATHER ANN Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.41 exercise price | 2016-06-03 | |
| 2016-06-02 | Nada Hany Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.41 exercise price | 2016-06-03 | |
| 2016-06-02 | MILLER WILLIAM J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.41 exercise price | 2016-06-03 | |
| 2016-06-02 | Ball Eric J. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.41 exercise price | 2016-06-03 | |
| 2016-05-23 | Nada Hany Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,100 0 owned after | $1.51 exercise price | 2016-05-25 | |
| 2016-05-19 | MATHER ANN Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,100 0 owned after | $1.51 exercise price | 2016-05-20 | |
| 2016-05-18 | MILLER WILLIAM J Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,100 0 owned after | $1.51 exercise price | 2016-05-20 | |
| 2016-05-12 | Wilson Tim Officer (Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $2.30 exercise price | 2016-05-13 | |
| 2016-04-13 | Cannon Gregory J. Officer (Vice President, Finance and IR) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,000 55,000 owned after | $1.34 exercise price | 2016-04-14 | |
| 2016-04-12 | Leichtner Scott Officer (VP and General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $1.19 exercise price | 2016-04-14 |