0001209191-11-023841.txt : 20110421
0001209191-11-023841.hdr.sgml : 20110421
20110421141602
ACCESSION NUMBER: 0001209191-11-023841
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110420
FILED AS OF DATE: 20110421
DATE AS OF CHANGE: 20110421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JANNEY DANIEL
CENTRAL INDEX KEY: 0001198325
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11773084
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NOHRA GUY P
CENTRAL INDEX KEY: 0001198330
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11773083
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ELLIE MAE INC
CENTRAL INDEX KEY: 0001122388
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4155 HOPYARD ROAD, SUITE 200
CITY: PLEASANTON
STATE: CA
ZIP: 94588
BUSINESS PHONE: 925-227-2082
MAIL ADDRESS:
STREET 1: 4155 HOPYARD ROAD, SUITE 200
CITY: PLEASANTON
STATE: CA
ZIP: 94588
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALTA EMBARCADERO PARTNERS II LLC
CENTRAL INDEX KEY: 0001077496
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11773086
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4153624022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GRUENER GARRETT
CENTRAL INDEX KEY: 0001106287
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11773085
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALTA CALIFORNIA PARTNERS II LP
CENTRAL INDEX KEY: 0001245270
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11773088
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4153624022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALTA CALIFORNIA MANAGEMENT PARTNERS II LLC
CENTRAL INDEX KEY: 0001245277
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11773087
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4153624022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
4
1
doc4.xml
FORM 4 SUBMISSION
X0303
4
2011-04-20
1
0001122388
ELLIE MAE INC
ELLI
0001245270
ALTA CALIFORNIA PARTNERS II LP
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001245277
ALTA CALIFORNIA MANAGEMENT PARTNERS II LLC
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001077496
ALTA EMBARCADERO PARTNERS II LLC
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001106287
GRUENER GARRETT
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001198325
JANNEY DANIEL
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001198330
NOHRA GUY P
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
Common Stock
2011-04-20
4
C
0
1347671
A
1347671
D
Common Stock
2011-04-20
4
C
0
17026
A
1364697
I
See Footnote
Common Stock
2011-04-20
4
C
0
230672
A
1595369
D
Common Stock
2011-04-20
4
C
0
2914
A
1598283
I
See Footnote
Common Stock
2011-04-20
4
C
0
168142
A
1766425
D
Common Stock
2011-04-20
4
C
0
2124
A
1768549
I
See Footnote
Common Stock
2011-04-20
4
X
0
82293
3.00
A
1850842
D
Common Stock
2011-04-20
4
S
0
41147
6.00
D
1809695
D
Common Stock
2011-04-20
4
X
0
1039
3.00
A
1810734
I
See Footnote
Common Stock
2011-04-20
4
S
0
520
6.00
D
1804009
I
See Footnote
Common Stock
2011-04-20
4
S
0
281851
6.00
D
1528363
D
Common Stock
2011-04-20
4
S
0
3559
6.00
D
1524804
I
See Footnote
Series D Convertible Preferred Stock
2011-04-20
4
C
0
1347671
D
Common Stock
1347671
0
D
Series D Convertible Preferred Stock
2011-04-20
4
C
0
17026
D
Common Stock
17026
0
I
See Footnote
Series E Convertible Preferred Stock
2011-04-20
4
C
0
230672
D
Common Stock
230672
0
D
Series E Convertible Preferred Stock
2011-04-20
4
C
0
2914
D
Common Stock
2914
0
I
See Footnote
Series F Convertible Preferred Stock
2011-04-20
4
C
0
168142
D
Common Stock
168142
0
D
Series F Convertible Preferred Stock
2011-04-20
4
C
0
2124
D
Common Stock
2124
0
I
See Footnote
Warrant to purchase Common Stock
3.00
2011-04-20
4
X
0
17509
3.00
D
2001-07-09
Common Stock
17509
0
D
Warrant to purchase Common Stock
3.00
2011-04-20
4
X
0
221
3.00
D
2001-07-09
Common Stock
221
0
I
See Footnote
Warrant to purchase Common Stock
3.00
2011-04-20
4
X
0
17509
3.00
D
2001-08-09
Common Stock
17509
0
D
Warrant to purchase Common Stock
3.00
2011-04-20
4
X
0
221
3.00
D
2001-08-09
Common Stock
221
0
I
See Footnote
Warrant to purchase Common Stock
3.00
2011-04-20
4
X
0
47275
3.00
D
2001-10-01
Common Stock
47275
0
D
Warrant to purchase Common Stock
3.00
2011-04-20
4
X
0
597
3.00
D
2001-10-01
Common Stock
597
0
I
See Footnotes
Upon the closing of the Issuer's initial public offering on April 20, 2011, each share of Series D Convertible Preferred Stock (the "Series D Shares"), each share of Series E Convertible Preferred Stock (the "Series E Shares"), and each share of the Series F Convertible Preferred Stock (the "Series F Shares") converted automatically into shares of the Issuer's Common Stock. The Series D Shares, the Series E Shares, and the Series F shares converted on a one-to-one basis into Common Stock, without payment of additional consideration. The Series D Shares, the Series E shares, and the Series F shares were convertible at any time, at the holder's election, and automatically upon consummation of the Issuer's intial public offering and had no expiration date.
Alta California Management Partners II, LLC (ACMPII") is the general Partner of Alta California Partners II, L.P. ("ACPII"). Garrett Gruener, Guy Nohra, and Dan Janney are members of ACMPII and Mr. Gruener and Mr. Nohra are also members of Alta Embarcadero Partners II, LLC ("AEPII"), along with ACPII shall be known as "the Funds," exercise shared voting and investment power with respect to the securities held by the Funds. Each of the reporting persons disclaim beneficial ownership of such securities, except to the extent of his proportionate pucuniary interest therein.
These securities are beneficially owned by ACPII.
These securities are beneficially owned by AEPII.
These shares reflect the combined net exercise of the ACPII warrants for Common Stock pursuant to the terms of the warrant into 41,146 shares of the Issuer's Common Stock.
These shares reflect the combined net exercise of the AEPII warrants for Common Stock pursuant to the terms of the warrant into 519 shares of the Issuer's Common Stock.
Shares sold as part of the offering per the S-1 including shares sold as part of the partial exercise of the overallotment.
Pursuant to its terms, warrant would terminate at the closing of the Issuer's initial public offering. Holder elected to net exercise the warrants contingent upon and effective immediately prior to the closing of the Issuer's initial public offering of Common Stock.
/s/ by Alta California Management Partners II, LLC, general partner, by Garrett Gruener, Member
2011-04-21
/s/ Garrett Gruener, Member
2011-04-21
/s/ Garrett Gruener, Member
2011-04-21
/s/ Garrett Gruener
2011-04-21
/s/ Daniel Janney
2011-04-21
/s/ Guy Nohra
2011-04-21