SEC Form 4 · accession 0001637313-17-000012

ELLIE MAE INC · ELLI

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

Reporting owner

Officer — EVP, Corporate Strategy

Period of report

Jul 3, 2017

Accepted (ET)

Jul 6, 2017 · 6:17 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	Jul 3, 2017	M	1,086	$24.39	A	41,269	D
Common Stock^F1,F2	Jul 3, 2017	S	1,086	$108.2689	D	40,183	D
Common Stock^F1	Jul 3, 2017	M	1,385	$55.30	A	41,568	D
Common Stock^F1,F2	Jul 3, 2017	S	1,385	$108.2689	D	40,183	D
Common Stock^F1	Jul 3, 2017	M	3,924	$55.30	A	44,107	D
Common Stock^F1,F3	Jul 3, 2017	S	3,924	$107.452	D	40,183	D
Common Stock^F1	Jul 3, 2017	M	1,995	$25.30	A	42,178	D
Common Stock^F1,F2	Jul 3, 2017	S	1,995	$108.2689	D	40,183	D
Common Stock^F1	Jul 3, 2017	M	5,653	$25.30	A	45,836	D
Common Stock^F1,F3	Jul 3, 2017	S	5,653	$107.452	D	40,183	D
Common Stock^F1	Jul 3, 2017	M	2,282	$21.81	A	42,465	D
Common Stock^F1,F2	Jul 3, 2017	S	2,282	$108.2689	D	40,183	D
Common Stock^F1	Jul 3, 2017	M	6,468	$21.81	A	46,651	D
Common Stock^F1,F3	Jul 3, 2017	S	6,468	$107.452	D	40,183	D
Common Stock^F1	Jul 3, 2017	M	3,078	$24.39	A	43,261	D
Common Stock^F1,F3	Jul 3, 2017	S	3,078	$107.452	D	40,183	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	$21.81	Jul 3, 2017	M	2,282	D	—	Feb 19, 2023	Common Stock	2,282	6,468	D
Non-Qualified Stock Option (right to buy)^F1,F5,F4	$21.81	Jul 3, 2017	M	6,468	D	—	Feb 19, 2023	Common Stock	6,468	0	D
Non-Qualified Stock Option (right to buy)^F1,F5,F4	$24.39	Jul 3, 2017	M	1,086	D	—	May 3, 2023	Common Stock	1,086	3,078	D
Non-Qualified Stock Option (right to buy)^F1,F5,F4	$24.39	Jul 3, 2017	M	3,078	D	—	May 3, 2023	Common Stock	3,078	0	D
Non-Qualified Stock Option (right to buy)^F1,F5,F6	$25.30	Jul 3, 2017	M	1,995	D	—	May 6, 2024	Common Stock	1,995	9,477	D
Non-Qualified Stock Option (right to buy)^F1,F5,F6	$25.30	Jul 3, 2017	M	5,653	D	—	May 6, 2024	Common Stock	5,653	3,824	D
Non-Qualified Stock Option (right to buy)^F1,F5,F6	$55.30	Jul 3, 2017	M	1,385	D	—	Mar 23, 2025	Common Stock	1,385	8,810	D
Non-Qualified Stock Option (right to buy)^F1,F5,F6	$55.30	Jul 3, 2017	M	3,924	D	—	Mar 23, 2025	Common Stock	3,924	4,886	D

F1The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Joseph P. Tyrrell.
F2The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $107.9400 to $108.8200, 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 Form 4.
F3The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $106.9400 to $107.9100, 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 Form 4.
F4100% of the shares subject to the option are fully vested and exercisable.
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.
F625% of the stock option shares vest on one year anniversary of grant date, 1/48th of the total shares vest monthly thereafter.