SEC Form 4 · accession 0001189871-17-000010
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Barr Dolan
Director
Period of report
Nov 7, 2017
Accepted (ET)
Nov 8, 2017 · 8:26 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 7, 2017 | M | 4,000 | $6.80 | A | 9,053 | D | |
| Common StockF1 | Nov 7, 2017 | S | 4,000 | $87.587 | D | 5,053 | D | |
| Common Stock | Nov 7, 2017 | M | 666 | $8.85 | A | 5,719 | D | |
| Common StockF1 | Nov 7, 2017 | S | 666 | $87.587 | D | 5,053 | 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)F3,F2 | $6.80 | Nov 7, 2017 | M | 4,000 | D | — | May 17, 2021 | Common Stock | 4,000 | 6,000 | D |
| Non-Qualified Stock Option (right to buy)F3,F2 | $8.85 | Nov 7, 2017 | M | 666 | D | — | Aug 26, 2020 | Common Stock | 666 | 0 | D |
Explanation of responses
- F1The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $87.5500 to $87.6500, inclusive. The reporting person undertakes to provide to Ellie Mae, Inc., any security holder of Ellie Mae, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.
- F2100% of the shares subject to the option are fully vested and exercisable.
- F3The 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.