SEC Form 4 · accession 0001097815-16-000046
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
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 7:09 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 | Nov 15, 2016 | M | 10,000 | $8.85 | A | 43,638 | D | |
| Common Stock | holding | — | — | — | 141,097 | I | by Trust |
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 | $8.85 | Nov 15, 2016 | M | 10,000 | D | — | Aug 26, 2020 | Common Stock | 10,000 | 30,000 | 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.