SEC Form 4 · accession 0001513905-17-000022
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
Jun 7, 2017
Accepted (ET)
Jun 7, 2017 · 7:56 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 StockF1 | Jun 7, 2017 | M | 1,669 | $46.24 | A | 116,002 | D | |
| Common StockF1 | Jun 7, 2017 | S | 1,669 | $112.4143 | D | 114,333 | D | |
| Common StockF1 | Jun 7, 2017 | M | 541 | $24.93 | A | 114,874 | D | |
| Common StockF1 | Jun 7, 2017 | S | 541 | $112.4143 | D | 114,333 | 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 | $24.93 | Jun 7, 2017 | M | 541 | D | — | Feb 5, 2024 | Common Stock | 541 | 4,708 | D |
| Non-Qualified Stock Option (right to buy)F1,F3,F4 | $46.24 | Jun 7, 2017 | M | 1,669 | D | — | Feb 11, 2025 | Common Stock | 1,669 | 18,265 | D |
Explanation of responses
- F1The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Jonathan H. Corr.
- F2Option 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.
- 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 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.