SEC Form 4 · accession 0001637360-15-000011
ELLIE MAE INC · ELLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gates Cathleen Schreiner
Officer — EVP, Sales & Marketing
Period of report
Apr 6, 2015
Accepted (ET)
Apr 8, 2015 · 7:16 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 | Apr 6, 2015 | M | 225 | $8.90 | A | 16,379 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1,F3,F2 | $8.90 | Apr 6, 2015 | M | 225 | D | — | Feb 27, 2022 | Common Stock | 225 | 33,564 | D |
Explanation of responses
- F1The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Cathleen Schreiner Gates.
- F225% of the stock option shares vest on one year anniversary of grant date, 1/48th of the total shares vest monthly thereafter.
- 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.