Filing Details
- Accession Number:
- 0001181431-11-024820
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-20 19:37:36
- Reporting Period:
- 2011-04-20
- Filing Date:
- 2011-04-20
- Accepted Time:
- 2011-04-20 19:37:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1513963 | Frank Schultz | 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, $0.0001 Par Value | Acquisiton | 2011-04-20 | 66,666 | $0.00 | 68,891 | No | 4 | C | Indirect | See Footnote |
| Common Stock, $0.0001 Par Value | Acquisiton | 2011-04-20 | 43,366 | $0.00 | 62,962 | No | 4 | C | Indirect | See Footnote |
| Common Stock, $0.0001 Par Value | Acquisiton | 2011-04-20 | 4,167 | $3.00 | 67,129 | No | 4 | X | Indirect | See Footnote |
| Common Stock, $0.0001 Par Value | Disposition | 2011-04-20 | 2,084 | $6.00 | 65,045 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Preferred Stock | Disposition | 2011-04-20 | 66,666 | $0.00 | 66,666 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2011-04-20 | 13,661 | $0.00 | 13,661 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2011-04-20 | 21,192 | $0.00 | 21,192 | $0.00 |
| Common Stock | Series F Preferred Stock | Disposition | 2011-04-20 | 8,513 | $0.00 | 8,513 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-04-20 | 887 | $0.00 | 887 | $3.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-04-20 | 887 | $0.00 | 887 | $3.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-04-20 | 2,393 | $0.00 | 2,393 | $3.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | 2011-07-13 | No | 4 | X | Indirect | |
| 0 | 2011-08-09 | No | 4 | X | Indirect | |
| 0 | 2011-10-01 | No | 4 | X | Indirect |
Footnotes
- These shares are held by the Frank J. and Paula C. Schultz 1989 Revocable Trust dated May 12, 1989.
- These securities are held by Charles Schwab & Co. Inc. Custodian FBO Frank J. Schultz Roth Contributory IRA.
- Each share of Series B, Series D, Series E and Series F Preferred Stock automatically converted on a 1-for-1 basis into common stock upon the closing of the Issuer's initial public offering.
- On April 20, 2011, the reporting person exercised warrants to purchase an aggregate of 4,167 shares of common stock for $3.00 per share. The reporting person paid the warrant exercise price on a cashless basis, resulting in the withholding by the Issuer of 2,084 shares of common stock to pay the warrant exercise price, while the remaining 2,083 shares of common stock were issued to the reporting person.
- The shares are immediately convertible.
- The shares do not have an expiration date.
- This warrant is immediately exercisable.
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