SEC Form 4 · accession 0001513909-17-000002
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig Davis
Director
Period of report
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 7:24 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 Stock | Feb 6, 2017 | M | 5,666 | $1.38 | A | 8,081 | D | |
| Common Stock | Feb 6, 2017 | M | 5,000 | $1.38 | A | 13,081 | D | |
| Common Stock | holding | — | — | — | 59,920 | 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)F3,F1,F2 | $1.38 | Feb 6, 2017 | M | 5,000 | D | — | Feb 22, 2017 | Common Stock | 5,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3,F1,F2 | $1.38 | Feb 6, 2017 | M | 5,666 | D | — | Dec 18, 2018 | Common Stock | 5,666 | 0 | D |
Explanation of responses
- F1Reflects a 1-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-166438).
- 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.