SEC Form 4 · accession 0001097815-15-000004
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Limin Hu
Officer — EVP, CTO
Period of report
Jan 23, 2015
Accepted (ET)
Jan 26, 2015 · 6:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001122388
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 23, 2015 | M | 13,333 | $1.38 | A | 243,396 | D | |
| Common Stock | Jan 23, 2015 | M | 1,736 | $1.38 | A | 245,132 | D | |
| Common Stock | Jan 23, 2015 | M | 26,041 | $1.38 | A | 271,173 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2,F1 | $1.38 | Jan 23, 2015 | M | 1,736 | D | — | Aug 23, 2017 | Common Stock | 1,736 | 26,041 | D |
| Incentive Stock Option (right to buy)F2,F1 | $1.38 | Jan 23, 2015 | M | 26,041 | D | — | Aug 23, 2017 | Common Stock | 26,041 | 0 | D |
| Incentive Stock Option (right to buy)F2,F1 | $1.38 | Jan 23, 2015 | M | 13,333 | D | — | Apr 23, 2019 | Common Stock | 13,333 | 0 | D |
Explanation of responses
- F1100% of the shares subject to the option are fully vested and exercisable.
- F2The 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.