Filing Details

Accession Number:
0001513908-13-000021
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-03 16:49:48
Reporting Period:
2013-07-01
Filing Date:
2013-07-03
Accepted Time:
2013-07-03 16:49:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1122388 Ellie Mae Inc ELLI Services-Prepackaged Software (7372) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1513908 Sigmund Anderman C/O Ellie Mae, Inc.
4155 Hopyard Road, Suite 200
Pleasanton CA 94588
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-07-01 12,500 $1.38 12,500 No 4 M Direct
Common Stock Disposition 2013-07-01 12,500 $22.72 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2013-07-01 12,500 $0.00 12,500 $1.38
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
32,600 2015-02-22 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 12,489 Indirect AFF CRT
Common Stock 10,000 Indirect by 401(k) Plan
Common Stock 436,841 Indirect by Trust
Footnotes
  1. The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Sigmund Anderman.
  2. These shares are held by Sigmund Anderman, Trustee of the Sigmund and Susan Anderman Family Trust dated December March 3, 2006.
  3. The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $21.96 to $22.915, inclusive. The reporting person undertakes to provide to Ellie Mae, Inc., any security holder of Ellie Mae, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.
  4. These shares are held by the AFF Charitable Remainder Trust, of which the reporting person and his wife are trustees. The reporting person disclaims beneficial ownership of the shares except to the extent of his and his wife's pecuniary interest therein.
  5. These shares are held by Sigmund Anderman, Trustee of the Sigmund and Susan Anderman Family Trust dated March 3, 2006.
  6. 100% of the shares subject to the option are fully vested and exercisable.
  7. The reported transaction is a grant of a derivative security, in which we have left column 8 blank, and have reported the exercise or conversion price of the derivative security in column 2.