SEC Form 4 · accession 0001637360-16-000065
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
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 5:25 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 14, 2016 | M | 1,300 | $8.90 | A | 27,894 | 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 | Nov 14, 2016 | M | 1,300 | D | — | Feb 27, 2022 | Common Stock | 1,300 | 26,464 | D |
Explanation of responses
- F1The exercise of these stock options was completed pursuant to the reporting person's Rule 10b5-1 trading plan.
- 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.