SEC Form 4 · accession 0001513909-15-000005
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig Davis
Director
Period of report
Oct 1, 2015
Accepted (ET)
Oct 2, 2015 · 4:35 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 | Oct 1, 2015 | M | 5,000 | $1.38 | A | 21,666 | I | by Trust |
| Common StockF1 | Oct 1, 2015 | M | 5,000 | $1.38 | A | 26,666 | I | by Trust |
| Common StockF1 | Oct 1, 2015 | M | 666 | $1.38 | A | 27,332 | I | by Trust |
| Common Stock | holding | — | — | — | 43,254 | D |
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)F3,F2 | $1.38 | Oct 1, 2015 | M | 5,000 | D | — | Dec 20, 2015 | Common Stock | 5,000 | 5,666 | D |
| Non-Qualified Stock Option (right to buy)F3,F2 | $1.38 | Oct 1, 2015 | M | 5,000 | D | — | Dec 20, 2015 | Common Stock | 5,000 | 666 | D |
| Non-Qualified Stock Option (right to buy)F3,F2 | $1.38 | Oct 1, 2015 | M | 666 | D | — | Dec 20, 2015 | Common Stock | 666 | 0 | D |
Explanation of responses
- F1These shares are held by the Davis Family Trust UTD 12/08/95 Craig S. Davis & Lecia A. Davis Trustees.
- F2100% of the shares subject to the option are fully vested and exercisable.
- 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.