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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) | $ 2.41 | 06/02/2016 | A | 50,000 | (3) | 06/02/2026 | Common Stock | 50,000 | $ 0 | 50,000 | D | ||||
| Restricted Stock Units | (4) | 06/02/2016 | A | 25,000 | (5) | (5) | Common Stock | 25,000 | $ 0 | 25,000 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Nada Hany C/O GLU MOBILE INC. 500 HOWARD STREET, SUITE 300 SAN FRANCISCO, CA 94105 |
X | |||
| /s/ Hany Nada | 06/03/2016 | |
| **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) | Vesting of restricted stock units ("RSUs") granted to Mr. Nada on June 4, 2015. |
| (2) | 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. |
| (3) | The option is immediately exercisable and vests over 12 months, with 8.333% of the shares vesting on July 2, 2016 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 2, 2017 or (2) the date of the Glu Mobile Inc. 2017 Annual Meeting of Stockholders. |
| (4) | Each RSU represents a contingent right to receive one share of Glu Mobile Inc. common stock. |
| (5) | The RSU vests in full on the first to occur of (1) June 2, 2017 or (2) the date of the Glu Mobile Inc. 2017 Annual Meeting of Stockholders. |