SEC Form 4 · accession 0001209191-17-002411
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
Dec 29, 2016
Accepted (ET)
Jan 5, 2017 · 7:40 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 29, 2016 | G | 1,588 | $0.00 | D | 0 | I | Sig GRAT 2014 |
| Common StockF2 | Dec 29, 2016 | G | 3,447 | $0.00 | D | 0 | I | Susan GRAT 2014 |
| Common StockF1,F3 | Dec 29, 2016 | G | 1,588 | $0.00 | A | 213,810 | I | by Trust |
| Common StockF2,F3 | Dec 29, 2016 | G | 3,447 | $0.00 | A | 217,257 | I | by Trust |
| Common StockF4 | Jan 3, 2017 | F | 17,123 | $84.66 | D | 140,751 | D | |
| Common Stock | holding | — | — | — | 10,000 | I | by 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On December 29, 2016, Sig GRAT 2014 transferred 1,588 shares of Common Stock to the Trust (as defined in Footnote 3).
- F2On December 29, 2016, Susan GRAT 2014 transferred 3,447 shares of Common Stock to the Trust (as defined in Footnote 3).
- F3These shares are held by Sigmund Anderman, Trustee of the Sigmund and Susan Anderman Family Trust dated March 3, 2006 (the "Trust").
- F4Represents shares of common stock withheld by the Issuer in payment of the withholding tax liability incurred upon the vesting of performance restricted stock units. The amount of shares withheld is based on the closing price of ELLI on January 3, 2017.