SEC Form 4 · accession 0001513905-15-000029
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Corr
Officer — President & CEO · Director
Period of report
Aug 25, 2015
Accepted (ET)
Aug 27, 2015 · 3:04 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 Stock | Aug 25, 2015 | M | 8,334 | $5.02 | A | 92,303 | D | |
| Common Stock | Aug 25, 2015 | M | 7,114 | $5.45 | A | 99,417 | D | |
| Common Stock | holding | — | — | — | 70,341 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2,F1 | $5.02 | Aug 25, 2015 | M | 8,334 | D | — | Aug 17, 2021 | Common Stock | 8,334 | 0 | D |
| Incentive Stock Option (right to buy)F2,F3 | $5.45 | Aug 25, 2015 | M | 7,114 | D | — | Dec 19, 2021 | Common Stock | 7,114 | 3,558 | D |
Explanation of responses
- F1Option vests with respect to 25% of the shares subject thereto on August 17, 2012, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 17, 2015.
- F2The 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.
- F3Option vests with respect to 25% of the shares subject thereto on December 19, 2012, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on December 19, 2015.