SEC Form 4 · accession 0001189871-16-000014
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Barr Dolan
Director
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 8:02 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 | Dec 15, 2016 | X | 5,000 | $8.85 | A | 9,368 | D | |
| Common StockF1 | Dec 15, 2016 | S | 5,000 | $80.65 | D | 4,368 | 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)F1,F4,F2,F3 | $8.85 | Dec 15, 2016 | X | 5,000 | D | — | Aug 26, 2020 | Common Stock | 5,000 | 6,666 | D |
Explanation of responses
- F1The exercise of these stock options was completed pursuant to the reporting person's Rule 10b5-1 trading plan.
- F2Reflects a 1-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-166438).
- F3Option vests with respect to 1/36th of the shares monthly commencing on August 26, 2010, such that the option will be fully vested and exercisable on August 26, 2013.
- 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.