SEC Form 4 · accession 0001140361-15-000627
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sigmund Anderman
Officer — Chief Executive Officer · Director
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 8:20 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 StockF2 | Dec 29, 2014 | G | 200,000 | $0.00 | D | 269,837 | I | See Footnote |
| Common StockF3 | Dec 29, 2014 | G | 100,000 | $0.00 | A | 100,000 | I | See Footnote |
| Common StockF4 | Dec 29, 2014 | G | 100,000 | $0.00 | A | 100,000 | I | See Footnote |
| Common Stock | holding | — | — | — | 176,250 | D | ||
| Common Stock | holding | — | — | — | 10,000 | I | by 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F5 | $40.32 | Dec 31, 2014 | A | 76,648 | A | — | Dec 31, 2024 | Common Stock | 76,648 | 76,648 | D |
| Stock Option (Right to Buy)F6 | $40.33 | Jan 5, 2015 | A | 71,648 | A | — | Jan 5, 2025 | Common Stock | 71,648 | 71,648 | D |
Explanation of responses
- F1The transactions in the Issuer's Common Stock reported herein were share transfers for no consideration from Sigmund Anderman TR DTD 3/3/2006 Sigmund and Susan Anderman Family Trust, for which the Reporing Person is trustee (the "Family Trust").
- F2The shares are directly held by the Family Trust.
- F3The shares are directly held by Sigmund Anderman TTEE Sigmund Anderman 2014 GRAT U/A DTD 12/12/2014.
- F4The shares are directly held by Susan Anderman TTEE Susan Anderman 2014 GRAT U/A DTD 12/12/2014.
- F5Option vests with respect to 25% of the shares subject thereto on December 31, 2015, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on December 31, 2018.
- F6Option vests with respect to 25% of the shares subject thereto on January 5, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 5, 2019.