Filing Details
- Accession Number:
- 0001513963-13-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-03 18:15:58
- Reporting Period:
- 2013-11-29
- Filing Date:
- 2013-12-03
- Accepted Time:
- 2013-12-03 18:15:58
- 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 | Acquisiton | 2013-11-29 | 12,000 | $15.34 | 12,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-29 | 12,000 | $28.05 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-29 | 9,028 | $8.85 | 9,028 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-29 | 9,028 | $28.05 | 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 |
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 | 2013-11-29 | 9,028 | $0.00 | 9,028 | $8.85 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2013-11-29 | 12,000 | $0.00 | 12,000 | $15.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-08-26 | No | 4 | M | Direct | |
| 0 | 2022-05-15 | No | 4 | M | Direct |
Footnotes
- The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $28.00 to $28.37, inclusive. The reporting person undertakes to provide to Ellie Mae,Inc., any security holder of Ellie Mae,Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- Option vests with respect to 1/36th of the shares monthly commencing on August 26, 2010, such that the option will be fully vested and exercisable on August 26, 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 1/12th of the shares on each monthly anniversary of the date of grant of option, such that the option will be fully vested and exercisable on May 15, 2013.
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