Filing Details
- Accession Number:
- 0001513901-13-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-09 17:24:11
- Reporting Period:
- 2013-08-08
- Filing Date:
- 2013-08-09
- Accepted Time:
- 2013-08-09 17:24:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1513901 | Elisa Lee | C/O Ellie Mae, Inc. 4155 Hopyard Road, Suite 200 Pleasanton CA 94588 | Exec Vp, General Counsel & Sct | No | 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 | 2013-08-08 | 30,000 | $6.75 | 30,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-08 | 30,000 | $29.95 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-08-08 | 3,062 | $6.75 | 3,062 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-08 | 3,062 | $29.95 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-08-08 | 3,646 | $5.02 | 3,646 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-08 | 3,646 | $29.95 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-08-08 | 2,431 | $6.75 | 2,431 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-08 | 2,431 | $29.95 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | Incentive Stock Option (right to buy) | Disposition | 2013-08-08 | 30,000 | $0.00 | 30,000 | $6.75 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2013-08-08 | 3,646 | $0.00 | 3,646 | $5.02 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2013-08-08 | 3,062 | $0.00 | 3,062 | $6.75 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2013-08-08 | 2,431 | $0.00 | 2,431 | $6.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 29,952 | 2020-02-03 | No | 4 | M | Direct | |
| 4,167 | 2021-08-17 | No | 4 | M | Direct | |
| 9,285 | 2020-02-03 | No | 4 | M | Direct | |
| 6,854 | 2020-02-03 | No | 4 | M | Direct |
Footnotes
- The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Elisa Lee.
- Option vests with respect to 25% of the shares subject thereto on November 16, 2010, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on November 16, 2013.
- 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.
- Option vests with respect to 25% of the shares subject thereto on August 17, 2012, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 17, 2015.
- Option vests with respect to 25% of the shares subject thereto on February 3, 2011, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 3, 2014.
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