SEC Form 4 · accession 0001189871-18-000006
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Barr Dolan
Director
Period of report
Aug 10, 2018
Accepted (ET)
Aug 14, 2018 · 5:51 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 StockF1 | Aug 10, 2018 | M | 3,000 | $6.80 | A | 9,212 | D | |
| Common StockF1 | Aug 10, 2018 | S | 3,000 | $104.57 | D | 6,212 | 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,F3,F2 | $6.80 | Aug 10, 2018 | M | 3,000 | D | — | May 17, 2021 | Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by A. Barr Dolan.
- F2Option vests with respect to 1/12th of the shares subject thereto monthly commencing on January 1, 2011, such that the option will be fully vested and exercisable on January 1, 2012.
- 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.