SEC Form 4 · accession 0001209191-16-100646

ELLIE MAE INC · ELLI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Sigmund Anderman

Officer — Founder & Executive Chairman · Director

Period of report

Feb 17, 2016

Accepted (ET)

Feb 19, 2016 · 5:07 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^F1,F2,F3	Feb 17, 2016	S	200	$73.9618	D	136,675	D
Common Stock^F1,F2,F4	Feb 17, 2016	S	500	$75.768	D	136,175	D
Common Stock^F1,F2,F5	Feb 17, 2016	S	1,500	$76.8822	D	134,675	D
Common Stock^F1,F2,F6	Feb 17, 2016	S	1,200	$78.035	D	133,475	D
Common Stock^F1,F2,F7	Feb 17, 2016	S	2,850	$79.3179	D	130,625	D
Common Stock^F8	holding	—	—		—	71,953	I	Sig GRAT 2014
Common Stock^F9	holding	—	—		—	71,953	I	Susan GRAT 2014
Common Stock	holding	—	—		—	10,000	I	By 401(k) Plan
Common Stock	holding	—	—		—	93,431	I	By Trust

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The sales reported on this Form 4 were effected pursuant to the reporting person's Rule 10b5-1 trading plan.
F2The reported shares represent 25% of the 2/5/2014 grant which vested on 2/15/2016, the remaining 50% of the RSU's will vest in equal annual installments, until such time as the RSU's are 100% vested on 2/15/2018.
F3The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $73.7800 to $74.1435, 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 footnote 3 to this form 4.
F4The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $75.3641 to $76.0500, 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 footnote 4 to this form 4.
F5The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $76.3898 to $77.3200, 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 footnote 5 to this form 4.
F6The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $77.7500 to $78.5500, 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 footnote 6 to this form 4.
F7The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $78.7917 to $79.7400, 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 footnote 7 to this form 4.
F8The shares are directly held by Sigmund Anderman TTEE Sigmund Anderman 2014 GRAT U/A DTD 12/12/2014.
F9The shares are directly held by Susan Anderman TTEE Susan Anderman 2014 GRAT U/A DTD 12/12/2014.