Filing Details
- Accession Number:
- 0001513908-14-000014
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-21 19:19:41
- Reporting Period:
- 2014-03-19
- Filing Date:
- 2014-03-21
- Accepted Time:
- 2014-03-21 19:19:41
- 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 | 2014-03-19 | 5,000 | $8.85 | 195,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-19 | 5,000 | $29.64 | 190,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-03-20 | 55,000 | $0.00 | 245,000 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2014-03-20 | 5,000 | $8.85 | 250,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-20 | 5,000 | $28.88 | 245,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | 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 | Non-Qualified Stock Option (right to buy) | Disposition | 2014-03-19 | 5,000 | $0.00 | 5,000 | $8.85 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2014-03-20 | 5,000 | $0.00 | 5,000 | $8.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,836 | 2020-08-26 | No | 4 | M | Direct | |
| 15,836 | 2020-08-26 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,000 | Indirect | by 401(k) Plan |
| Common Stock | 399,841 | Indirect | by Trust |
Footnotes
- The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Sigmund Anderman.
- Constitutes shares to be issued following the Compensation Committee of the Board of Directors certification on March 20, 2014 of the achievement of performance goals under 2013 performance share awards. Shares of common stock will be issued on or about April 21, 2014 with 25% of the shares vesting on each of the date of issuance, March 20, 2015, March 20, 2016 and March 20, 2017, subject to continuous service through such dates.
- Reflects a 1-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-166438).
- Option vests with respect to 25% of the shares subject thereto on August 26, 2011, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 26, 2014.
- 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.
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