SEC Form 4 · accession 0001513935-15-000037

ELLIE MAE INC · ELLI

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

Reporting owner

Edgar Luce

Officer — Chief Financial Officer

Period of report

Nov 2, 2015

Accepted (ET)

Nov 4, 2015 · 5:32 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
Common Stock^F1	Nov 2, 2015	M	1,000	$8.85	A	65,052	D
Common Stock^F1,F2	Nov 2, 2015	S	1,000	$66.572	D	64,052	D
Common Stock^F1	Nov 2, 2015	M	2,000	$8.85	A	66,052	D
Common Stock^F1,F3	Nov 2, 2015	S	2,000	$68.8025	D	64,052	D
Common Stock^F1	Nov 2, 2015	M	469	$8.85	A	64,521	D
Common Stock^F1,F4	Nov 2, 2015	S	469	$70.9919	D	64,052	D
Common Stock^F1	Nov 2, 2015	M	1,531	$5.02	A	65,583	D
Common Stock^F1,F4	Nov 2, 2015	S	1,531	$70.9919	D	64,052	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)^F1,F6,F5	$5.02	Nov 2, 2015	M	1,531	D	—	Aug 17, 2021	Common Stock	1,531	40,004	D
Non-Qualified Stock Option (right to buy)^F1,F6,F5	$8.85	Nov 2, 2015	M	1,000	D	—	Aug 26, 2020	Common Stock	1,000	2,469	D
Non-Qualified Stock Option (right to buy)^F1,F6,F5	$8.85	Nov 2, 2015	M	2,000	D	—	Aug 26, 2020	Common Stock	2,000	469	D
Non-Qualified Stock Option (right to buy)^F1,F6,F5	$8.85	Nov 2, 2015	M	469	D	—	Aug 26, 2020	Common Stock	469	0	D

Explanation of responses

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 $66.4300 to $66.7200, 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 $68.4200 to $69.0000, 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.
F4The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $70.6700 to $71.0850, 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.
F5100% of the shares subject to the option are fully vested and exercisable.
F6The 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.