SEC Form 4 · accession 0001097815-15-000006
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
Aug 14, 2014
Accepted (ET)
Feb 13, 2015 · 8:05 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 StockF1 | Aug 14, 2014 | G | 3,000 | $0.00 | D | 169,001 | D | |
| Common StockF2 | Feb 11, 2015 | A | 4,973 | $0.00 | A | 273,146 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F4,F3 | $46.24 | Feb 11, 2015 | A | 10,086 | A | — | Feb 11, 2025 | Common Stock | 10,086 | 10,086 | D |
Explanation of responses
- F1Represents shares beneficially owned by Reporting Person following the gift of 3,000 shares on transaction date.
- F2The reported shares are represented by restricted stock units which vest in four equal annual installments beginning on 2/15/2016.
- F3Option vests with respect to 25% of the shares subject thereto on February 11, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2019.
- F4The 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.