SEC Form 4 · accession 0001097815-16-000036
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
May 5, 2016
Accepted (ET)
May 9, 2016 · 7:17 pm EDT
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 | May 5, 2016 | M | 2,271 | $8.85 | A | 210,270 | D | |
| Common Stock | May 5, 2016 | M | 8,465 | $5.02 | A | 218,735 | 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 | $5.02 | May 5, 2016 | M | 8,465 | D | — | Aug 17, 2021 | Common Stock | 8,465 | 0 | D |
| Incentive Stock Option (right to buy)F2,F1 | $8.85 | May 5, 2016 | M | 2,271 | D | — | Aug 26, 2020 | Common Stock | 2,271 | 40,000 | 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.