SEC Form 4 · accession 0001513905-15-000033

ELLIE MAE INC · ELLI

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

Reporting owner

Officer — President & CEO · Director

Period of report

Oct 20, 2015

Accepted (ET)

Oct 21, 2015 · 5:16 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^F1	Oct 20, 2015	M	2,757	$5.45	A	86,726	D
Common Stock^F1,F2	Oct 20, 2015	S	2,757	$68.0924	D	83,969	D
Common Stock^F1	Oct 20, 2015	M	3,493	$8.85	A	87,462	D
Common Stock^F1,F2	Oct 20, 2015	S	3,493	$68.0924	D	83,969	D
Common Stock^F1	Oct 20, 2015	M	600	$8.85	A	84,569	D
Common Stock^F1,F3	Oct 20, 2015	S	600	$68.5017	D	83,969	D
Common Stock	holding	—	—		—	85,789	I	by Trust

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,F5,F4	$5.45	Oct 20, 2015	M	2,757	D	—	Dec 19, 2021	Common Stock	2,757	5,513	D
Non-Qualified Stock Option (right to buy)^F1,F5,F6	$8.85	Oct 20, 2015	M	3,493	D	—	Aug 26, 2020	Common Stock	3,493	8,996	D
Non-Qualified Stock Option (right to buy)^F1,F5,F6	$8.85	Oct 20, 2015	M	600	D	—	Aug 26, 2020	Common Stock	600	8,396	D

F1The exercise of these stock options was completed pursuant to the reporting person's Rule 10b5-1 trading plan.
F2The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $67.5000 to $68.4500, 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 footnote.
F3The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $68.5000 to $68.5100, 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 footnote.
F4Option 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.
F5The 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.
F6100% of the shares subject to the option are fully vested and exercisable.