SEC Form 4 · accession 0001637360-16-000053
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
Dec 3, 2015
Accepted (ET)
Jun 7, 2016 · 5:46 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 | Dec 3, 2015 | M | 225 | $8.90 | A | 14,274 | D | |
| Common StockF2 | Dec 4, 2015 | S | 225 | $63.37 | D | 14,049 | D | |
| Common StockF1 | Jun 3, 2016 | M | 300 | $8.90 | A | 26,744 | 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,F4,F3 | $8.90 | Dec 3, 2015 | M | 225 | D | — | Feb 27, 2022 | Common Stock | 225 | 31,764 | D |
| Incentive Stock Option (right to buy)F1,F4,F3 | $8.90 | Jun 3, 2016 | M | 300 | D | — | Feb 27, 2022 | Common Stock | 300 | 28,964 | D |
Explanation of responses
- F1The exercise of these stock options was completed pursuant to the reporting person's Rule 10b5-1 trading plan.
- F2The sales reported on this Form 4 were effected pursuant to the reporting person's Rule 10b5-1 trading plan.
- F3100% of the shares subject to the option are fully vested and exercisable.
- F4The 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.