glu_Current_Folio_S8

As filed with the Securities and Exchange Commission on August 7, 2017

Registration No. 333-                          

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 


 

FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 


 

Glu Mobile Inc.

(Exact Name of Registrant as Specified in Its Charter)

 

Delaware

91-2143667

(State or Other Jurisdiction of

(I.R.S. Employer

Incorporation or Organization)

Identification No.)

 

500 Howard Street, Suite 300

San Francisco, California  94105

(Address of Principal Executive Offices)

 

2007 Equity Incentive Plan

2008 Equity Inducement Plan

2007 Employee Stock Purchase Plan

(Full Titles of the Plans)

 


 

Nick Earl

President and Chief Executive Officer

Glu Mobile Inc.

500 Howard Street, Suite 300

San Francisco, California  94105

(415) 800-6100

(Name and Address of Agent For Service)

 


 

Copies to:

 

 

Scott J. Leichtner, Esq.

 

 

Vice President and General Counsel

 

 

Glu Mobile Inc.

 

 

500 Howard Street, Suite 300

 

 

San Francisco,

 

 

California  94105

 

 

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

 

Large accelerated filer

Accelerated filer

 

Non-accelerated filer

Smaller reporting company

 

(Do not check if a smaller reporting company)

 

Emerging Growth Company

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐

 

CALCULATION OF REGISTRATION FEE

 

 

 

 

 

 

 

 

Proposed maximum

Proposed maximum

Amount of

Title of each class of securities

Amount to be

offering price

aggregate offering

registration

to be registered

Registered (1)

per unit

price

fee

Common Stock, $0.0001 par value

8,000,000(2)

$ 2.74(3)

$
21,920,000

$2,540.53 

Common Stock, $0.0001 par value

6,000,000(4)

$ 2.74(3)

$16,440,000 

$1,905.40 

Common Stock, $0.0001 par value

4,000,000(5)

$ 2.329(6)

$9,316,000 

$1,079.72 

Total:

18,000,000

 

$47,676,000 

$5,525.65 

 

(1)

Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of the Registrant’s common stock that become issuable under the Registrant’s 2007 Equity Incentive Plan, 2008 Equity Inducement Plan and 2007 Employee Stock Purchase Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the receipt of consideration that increases the number of the Registrant’s outstanding shares of common stock.

(2)

Represents an increase in the number of shares available for issuance under the 2007 Equity Incentive Plan. This increase was effective as of June 8, 2017.

(3)

Estimated solely for the purpose of calculating the registration fee in accordance with Rules 457(c) and 457(h) under the Securities Act of 1933, and based upon the average of the high and low sales prices of the Registrant’s common stock as reported by the NASDAQ Global Market on August 1, 2017.

(4)

Represents an increase in the number of shares available for issuance under the 2008 Equity Inducement Plan.  This increase was effective as of November 14, 2016.

(5)

Represents an increase in the number of shares available for issuance under the 2007 Employee Stock Purchase Plan. This increase was effective as of June 8, 2017.

(6)

Estimated solely for the purpose of calculating the registration fee in accordance with Rules 457(c) and 457(h) under the Securities Act of 1933, and based upon 85% of the average of the high and low sales prices of the Registrant’s common stock as reported by the Nasdaq Global Market on August 1, 2017.  Pursuant to the 2007 Employee Stock Purchase Plan, the purchase price of a share is 85% of the fair market value of the Registrant’s common stock.

 

 

 

 

 


 

REGISTRATION OF ADDITIONAL SHARES

PURSUANT TO GENERAL INSTRUCTION E

 

Pursuant to General Instruction E of Form S-8, Glu Mobile Inc. (the “Registrant”) is filing this registration statement with the Securities and Exchange Commission (the “Commission”) to register (1) an additional 8,000,000 shares reserved for issuance under its 2007 Equity Incentive Plan, (2) an additional 6,000,000 shares reserved for issuance under its 2008 Equity Inducement Plan and (3) an additional 4,000,000 shares reserved for issuance under its 2007 Employee Stock Purchase Plan. The contents of the following registration statements on Form S-8 filed by the Registrant with the Commission are incorporated by reference in this registration statement on Form S-8:

 

 

 

 

Registration No.

Plan(s) Covered

Date Filed

333-211208

2008 Equity Inducement Plan

05/06/2016

333-206230

2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan

08/07/2015

333-194604

2007 Employee Stock Purchase Plan

03/14/2014

333-190544

2007 Equity Incentive Plan
2008 Equity Inducement Plan

08/09/2013

333-187311

2008 Equity Inducement Plan
2007 Employee Stock Purchase Plan

03/15/2013

333-180110

2007 Employee Stock Purchase Plan

03/14/2012

333-176318

2008 Equity Inducement Plan

08/15/2011

333-172983

2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan

03/21/2011

333-165813

2008 Equity Inducement Plan
2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan

03/31/2010

333-157959
(Post-Effective
Amendment No. 1)

2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan

03/18/2009

333-157959

2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan

03/13/2009

333-149996

2008 Equity Inducement Plan
2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan

03/31/2008

333-141487

2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan

03/22/2007

 

 

I - 1


 

PART II 

 

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT 

 

Item 8. Exhibits. 

 

The exhibits listed on the Exhibit Index (following the Signatures section of this Registration Statement) are incorporated by reference in this Registration Statement.

 


 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of San Francisco, State of California, on August 7, 2017.

 

 

GLU MOBILE INC.

 

 

 

By:

/s/ Nick Earl

 

 

Nick Earl

 

 

President and Chief Executive Officer

 

POWER OF ATTORNEY

 

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Nick Earl, Eric R. Ludwig and Scott J. Leichtner, and each of them acting individually, as his or her attorney-in-fact, each with full power of substitution, for him or her in any and all capacities, to sign any and all amendments to this Registration Statement on Form S-8, and to file the same, with exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that each of said attorneys-in-fact, or any substitute, may do or cause to be done by virtue hereof.  This Power of Attorney may be executed in any number of counterparts, each of which when so executed and delivered shall be deemed an original, and such counterparts shall together constitute one and the same instrument.

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the date indicated:

 

Signature

    

Title

    

Date

 

 

 

 

 

Principal Executive Officer:

 

 

 

 

 

 

 

 

 

/s/ Nick Earl

 

President, Chief Executive Officer and Chairman

 

August 7, 2017

Nick Earl

 

 

 

 

 

 

 

 

 

Principal Financial Officer:

 

 

 

 

 

 

 

 

 

/s/ Eric R. Ludwig

 

Executive Vice President, Chief Operating Officer and Chief Financial Officer

 

August 7, 2017

Eric R. Ludwig

 

 

 

 

 

 

 

 

 

Principal Accounting Officer:

 

 

 

 

 

 

 

 

 

/s/ Gordon Lee

 

Vice President, Accounting

 

August 7, 2017

Gordon Lee

 

 

 

 

 

 

 

 

 

Additional Directors:

 

 

 

 

 

 

 

 

 

 

 

Director

 

August 7, 2017

Gregory Brandeau

 

 

 

 

 

 

 

 

 

/s/ Eric R. Ball

 

Director

 

August 7, 2017

Eric R. Ball

 

 

 

 

 


 

 

 

 

 

 

/s/ Niccolo de Masi

 

Chairman

 

August 7, 2017

Niccolo de Masi

 

 

 

 

 

 

 

 

 

 

 

Director

 

August 7, 2017

Ben Feder

 

 

 

 

 

 

 

 

 

/s/ Ann Mather

 

Director

 

August 7, 2017

Ann Mather

 

 

 

 

 

 

 

 

 

 

 

Director

 

August 7, 2017

Hany M. Nada

 

 

 

 

 

 

 

 

 

/s/ Benjamin T. Smith, IV

 

Lead Director

 

August 7, 2017

Benjamin T. Smith, IV

 

 

 

 

 

 

 

 

 

 

 

 


 

EXHIBIT INDEX

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Incorporated by Reference

 

 

Exhibit
Number

    

Exhibit Description

    

Form

    

File No.

    

Exhibit

    

Filing
Date

    

Filed
Herewith

 

 

 

 

 

 

 

 

 

 

 

 

 

4.01

 

Restated Certificate of Incorporation of the Registrant.

 

S-1/A

 

333-139493

 

3.02

 

02/14/2007

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.02

 

Amended and Restated Bylaws of the Registrant, adopted on March 7, 2014.

 

8-K

 

001-33368

 

99.01

 

03/13/2014

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.03

 

2007 Employee Stock Purchase Plan, as amended and restated on June 8, 2017.

 

10-Q

 

001-33368

 

10.01

 

08/07/2017

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.04

 

2007 Equity Incentive Plan, as amended and restated on June 8, 2017.

 

10-Q

 

001-33368

 

10.02

 

08/07/2017

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.05

 

2008 Equity Inducement Plan, as amended effective November 14, 2016.

 

8-K

 

001-33368

 

99.01

 

11/18/16

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.05

 

For the 2007 Equity Incentive Plan, forms of (a) Notice of Stock Option Grant, Stock Option Award Agreement and Stock Option Exercise Agreement, (b) Notice of Restricted Stock Award and Restricted Stock Agreement, (c) Notice of Stock Appreciation Right Award and Stock Appreciation Right Award Agreement, and (d) Notice of Stock Bonus Award and Stock Bonus Agreement.

 

S-1/A

 

333-139493

 

10.03

 

02/16/2007

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.06

 

For the 2007 Equity Incentive Plan, form of Notice of Restricted Stock Unit Award and Restricted Stock Unit Agreement.

 

10-Q

 

001-33368

 

10.08

 

08/09/2013

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.07

 

Forms of Stock Option Award Agreement (Immediately Exercisable) and Stock Option Exercise Agreement (Immediately Exercisable) under the 2007 Equity Incentive Plan.

 

10-Q

 

001-33368

 

10.05

 

08/14/2008

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.07

 

For the 2008 Equity Inducement Plan, forms of Notice of Stock Option Grant, Stock Option Award Agreement and Stock Option Exercise Agreement.

 

10-K

 

001-33368

 

10.05(B)

 

03/21/2010

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.08

 

For the 2008 Equity Inducement Plan, forms of Notice of Restricted Stock Unit Award and Restricted Stock Unit Award.

 

10-K

 

001-33368

 

10.05(C)

 

02/14/2014

 

 

4.07

 

Form of Specimen Certificate for Common Stock.

 

S-1/A

 

333-139493

 

4.01

 

02/14/2007

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

5.01

 

Opinion of Scott J. Leichtner, General Counsel to Registrant.

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

 

23.01

 

Consent of Scott J. Leichtner (included in Exhibit 5.01).

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

 

23.02

 

Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm.

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

 

24.01

 

Power of Attorney (see Signature Page of this Registration Statement).

 

 

 

 

 

 

 

 

 

X