SEC Form 4 · accession 0001637360-17-000002
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
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 5:21 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 | Jan 3, 2017 | M | 4,459 | $55.30 | A | 32,653 | D | |
| Common StockF1 | Jan 3, 2017 | S | 4,459 | $84.4245 | D | 28,194 | D | |
| Common StockF1 | Jan 3, 2017 | M | 6,174 | $25.30 | A | 34,368 | D | |
| Common Stock | Jan 3, 2017 | S | 6,174 | $84.4245 | D | 28,194 | D | |
| Common StockF1 | Jan 3, 2017 | M | 2,386 | $24.39 | A | 30,580 | D | |
| Common Stock | Jan 3, 2017 | S | 2,386 | $84.4245 | D | 28,194 | D |
Table II — derivative securities
| 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,F3,F2 | $24.39 | Jan 3, 2017 | M | 2,386 | D | — | May 3, 2023 | Common Stock | 2,386 | 1,193 | D |
| Non-Qualified Stock Option (right to buy)F1,F3,F2 | $25.30 | Jan 3, 2017 | M | 6,174 | D | — | May 6, 2024 | Common Stock | 6,174 | 3,386 | D |
| Non-Qualified Stock Option (right to buy)F1,F3,F2 | $55.30 | Jan 3, 2017 | M | 4,459 | D | — | Mar 23, 2025 | Common Stock | 4,459 | 5,736 | 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.