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