Filing Details
- Accession Number:
- 0001513957-14-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-18 18:17:51
- Reporting Period:
- 2014-02-14
- Filing Date:
- 2014-02-18
- Accepted Time:
- 2014-02-18 18:17:51
- 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 | 2014-02-14 | 1,250 | $8.85 | 1,250 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-02-14 | 1,250 | $25.00 | 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 | 2014-02-14 | 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 |
---|---|---|---|---|---|---|
6,666 | 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
- The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Alan S. Henricks.
- 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.
- 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.
- 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.