Filing Details
- Accession Number:
- 0001513908-14-000018
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-24 18:53:50
- Reporting Period:
- 2014-04-22
- Filing Date:
- 2014-04-24
- Accepted Time:
- 2014-04-24 18:53:50
- 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 | 2014-04-22 | 5,000 | $8.85 | 236,250 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-22 | 5,000 | $25.06 | 231,250 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-04-23 | 4,394 | $8.85 | 235,644 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-23 | 4,394 | $25.36 | 231,250 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-04-23 | 606 | $8.85 | 231,856 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-23 | 606 | $25.36 | 231,250 | 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 |
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 | 2014-04-22 | 5,000 | $0.00 | 5,000 | $8.85 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2014-04-23 | 606 | $0.00 | 606 | $8.85 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2014-04-23 | 4,394 | $0.00 | 4,394 | $8.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 836 | 2020-08-26 | No | 4 | M | Direct | |
| 230 | 2020-08-26 | No | 4 | M | Direct | |
| 20,606 | 2020-09-16 | 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.
- 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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