0001513935-17-000010.txt : 20170302 0001513935-17-000010.hdr.sgml : 20170302 20170302171509 ACCESSION NUMBER: 0001513935-17-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170228 FILED AS OF DATE: 20170302 DATE AS OF CHANGE: 20170302 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: 4420 ROSEWOOD DRIVE, SUITE 500 CITY: PLEASANTON STATE: CA ZIP: 94588 BUSINESS PHONE: 925-227-2082 MAIL ADDRESS: STREET 1: 4420 ROSEWOOD DRIVE, SUITE 500 CITY: PLEASANTON STATE: CA ZIP: 94588 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Luce Edgar CENTRAL INDEX KEY: 0001513935 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35140 FILM NUMBER: 17660061 MAIL ADDRESS: STREET 1: ELLIE MAE, INC. STREET 2: 4420 ROSEWOOD DRIVE, SUITE 500 CITY: PLEASANTON STATE: CA ZIP: 94588 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-02-28 0 0001122388 ELLIE MAE INC ELLI 0001513935 Luce Edgar C/O ELLIE MAE, INC. 4420 ROSEWOOD DRIVE, SUITE 500 PLEASANTON CA 94588 0 1 0 0 Chief Financial Officer Common Stock 2017-02-28 4 S 0 2924 93.9577 D 50132 D Common Stock 2017-03-01 4 M 0 700 46.24 A 50832 D Common Stock 2017-03-01 4 S 0 700 95.3094 D 50132 D Common Stock 2017-03-01 4 M 0 750 24.93 A 50882 D Common Stock 2017-03-01 4 S 0 750 95.3094 D 50132 D Common Stock 2017-03-01 4 M 0 200 19.6 A 50332 D Common Stock 2017-03-01 4 S 0 200 95.3094 D 50132 D Non-Qualified Stock Option (right to buy) 19.6 2017-03-01 4 M 0 200 D 2023-02-04 Common Stock 200 1900 D Non-Qualified Stock Option (right to buy) 24.93 2017-03-01 4 M 0 750 D 2024-02-05 Common Stock 750 7750 D Non-Qualified Stock Option (right to buy) 46.24 2017-03-01 4 M 0 700 D 2025-02-11 Common Stock 700 9762 D The sales reported on this Form 4 were effected pursuant to the reporting person's Rule 10b5-1 trading plan. Reflects shares of common stock issued and sold in connection with the Compensation Committee of the Board of Directors certification on February 25, 2016 of the achievement of performance goals under the 2015 performance share awards. 25% of the total shares awarded were issued as fully vested shares on or about March 25, 2016. An additional 25% of the total shares awarded will vest on each of February 25, 2017, February 25, 2018 and February 25, 2019, subject to continuous service through such dates. The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $93.7300 to $94.23, inclusive. The reporting person undertakes to provide to Ellie Mae, Inc., any security holder of Ellie Mae, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Edgar A. Luce. The price reported is a weighted average price. The shares were sold in multiple transactions ranging from $95.1000 to $95.6000, inclusive. The reporting person undertakes to provide to Ellie Mae, Inc., any security holder of Ellie Mae, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Includes 252 shares acquired by the Reporting Person on February 28, 2017 under the Issuer's employee stock purchase plan in a transaction exempt from the reporting requirements under Section 16(a). Option vests with respect to 25% of the shares subject thereto on February 4, 2014, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 4, 2017. The 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. Option vests with respect to 25% of the shares subject thereto on February 5, 2015, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 5, 2018. Option vests with respect to 25% of the shares subject thereto on February 11, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2019. /s/ Edgar A. Luce 2017-03-01