Filing Details

Accession Number:
0001513957-13-000015
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-16 20:31:14
Reporting Period:
2013-07-12
Filing Date:
2013-07-16
Accepted Time:
2013-07-16 20:31:14
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
1513957 S. Alan Henricks C/O Ellie Mae, Inc.
4155 Hopyard Road, Suite 200
Pleasanton CA 94588
Yes No 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 2013-07-12 1,250 $8.85 1,250 No 4 M Direct
Common Stock Disposition 2013-07-12 1,250 $24.69 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 2013-07-12 1,250 $0.00 1,250 $8.85
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
15,416 2020-08-26 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 12,700 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 Alan S. Henricks.
  2. 5,000 shares were purchased pursuant to the Issuer's Directed Share Program in connection with the Issuer's initial public offering. 2,700 shares were acquired on August 23, 2011 on the open market. 5,000 shares were exercised pursuant to Issuer's Stock Option Plan on November 5, 2012. These securities are held by the Henricks Family Trust UDT dated July 28, 1992.
  3. Option vests with respect to 1/12th of the shares subject thereto monthly commencing on August 26, 2010, such that the option will be fully vested and exercisable on August 26, 2011.
  4. 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.