SEC Form 4 · accession 0001513905-17-000004
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
Feb 7, 2017
Accepted (ET)
Feb 8, 2017 · 7:30 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 | Feb 7, 2017 | M | 1,669 | $46.24 | A | 85,533 | D | |
| Common StockF1 | Feb 7, 2017 | S | 1,669 | $88.61 | D | 83,864 | D | |
| Common StockF1 | Feb 7, 2017 | M | 542 | $24.93 | A | 84,406 | D | |
| Common StockF1 | Feb 7, 2017 | S | 542 | $88.61 | D | 83,864 | D | |
| Common StockF1 | Feb 7, 2017 | M | 521 | $19.60 | A | 84,385 | D | |
| Common StockF1 | Feb 7, 2017 | S | 521 | $88.61 | D | 83,864 | D | |
| Common Stock | holding | — | — | — | 79,347 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1,F3,F2 | $19.60 | Feb 7, 2017 | M | 521 | D | — | Feb 4, 2023 | Common Stock | 521 | 0 | D |
| Non-Qualified Stock Option (right to buy)F1,F3,F4 | $24.93 | Feb 7, 2017 | M | 542 | D | — | Feb 5, 2024 | Common Stock | 542 | 6,874 | D |
| Non-Qualified Stock Option (right to buy)F1,F3,F5 | $46.24 | Feb 7, 2017 | M | 1,669 | D | — | Feb 11, 2025 | Common Stock | 1,669 | 24,941 | D |
Explanation of responses
- F1The exercise of these stock options was completed pursuant to the reporting person's Rule 10b5-1 trading plan.
- F2Option vests with respect to 25% of the shares subject thereto on February 4, 2014, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 4, 2017.
- 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.
- F4Option vests with respect to 25% of the shares subject thereto on February 5, 2015, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 5, 2018.
- F5Option vests with respect to 25% of the shares subject thereto on February 11, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2019.