SEC Form 4 · accession 0001513935-16-000073

ELLIE MAE INC · ELLI

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

Reporting owner

Officer — Chief Financial Officer

Period of report

Oct 3, 2016

Accepted (ET)

Oct 4, 2016 · 5:12 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
Common Stock^F1	Oct 3, 2016	M	3,300	$19.60	A	47,989	D
Common Stock^F1,F2	Oct 3, 2016	S	3,300	$103.7513	D	44,689	D
Common Stock^F1	Oct 3, 2016	M	1,700	$19.60	A	46,389	D
Common Stock^F1,F3	Oct 3, 2016	S	1,700	$105.2171	D	44,689	D

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,F5,F4	$19.60	Oct 3, 2016	M	3,300	D	—	Feb 4, 2023	Common Stock	3,300	4,200	D
Non-Qualified Stock Option (right to buy)^F1,F5,F4	$19.60	Oct 3, 2016	M	1,700	D	—	Feb 4, 2023	Common Stock	1,700	2,500	D

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 $103.6000 to $103.8750, 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 footnote (2) to this Form 4.
F3The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $105.1500 to $105.2500, 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.
F4Option 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.
F5The 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.