0001665981-19-000006.txt : 20190305 0001665981-19-000006.hdr.sgml : 20190305 20190305181918 ACCESSION NUMBER: 0001665981-19-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190301 FILED AS OF DATE: 20190305 DATE AS OF CHANGE: 20190305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROWN BRIAN E. CENTRAL INDEX KEY: 0001665981 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35140 FILM NUMBER: 19660260 MAIL ADDRESS: STREET 1: C/O ELLIE MAE, INC. STREET 2: 4420 ROSEWOOD DRIVE, 5TH FL CITY: PLEASANTON STATE: CA ZIP: 94588 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 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2019-03-01 0 0001122388 ELLIE MAE INC ELLI 0001665981 BROWN BRIAN E. C/O ELLIE MAE, INC. 4420 ROSEWOOD DRIVE, SUITE 500 PLEASANTON CA 94588 0 1 0 0 EVP and General Counsel Common Stock 2019-03-01 4 A 0 7598 0.0 A 26660 D Common Stock 2019-03-01 4 S 0 235 99.52 D 26425 D Common Stock 2019-03-01 4 F 0 246 99.52 D 26179 D Common Stock 2019-03-04 4 S 0 465 99.5 D 25714 D Constitutes shares to be issued following the Compensation Committee of the Board of Directors certification on March 1, 2019 of the achievement of performance goals under 2018 performance share awards. Shares of common stock will be issued on or about April 1, 2019 with 25% of the shares vesting on each of the date of issuance, March 1, 2020, March 1, 2021 and March 1, 2022, subject to continuous service through such dates. The sales reported on this Form 4 were effected pursuant to the reporting person's Rule 10b5-1 trading plan. Represents shares acquired by the Reporting Person on February 28, 2019 under the Issuer's employee stock purchase plan in a transaction exempt from the reporting requirements under Section 16(a). Represents shares of common stock withheld by the Issuer in payment of the withholding tax liability incurred upon the vesting of restricted stock. The amount of shares withheld is based on the closing price of ELLI on March 1, 2019. /s/ Brian Brown 2019-03-05