Accession Number: | 0001513908-14-000041 |
Date: | 2014-08-20 |
Issuer: | ELLIE MAE INC (ELLI) |
Original Submission Date: |
ANDERMAN SIGMUND
C/O ELLIE MAE, INC.
4155 HOPYARD ROAD, SUITE 200
PLEASANTON, CA 94588
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-08-20 | M | 5,000 | a | $5.02 | 181,250 | direct | ||
COMMON STOCK | 2014-08-20 | S | 5,000 | d | $35.70 | 176,250 | direct | ||
COMMON STOCK | 2014-08-21 | M | 5,000 | a | $5.02 | 181,250 | direct | ||
COMMON STOCK | 2014-08-21 | S | 5,000 | d | $34.72 | 176,250 | direct | ||
COMMON STOCK | 2014-08-20 | 0 | $0.00 | 10,000 | indirect | ||||
COMMON STOCK | 2014-08-20 | 0 | $0.00 | 418,935 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) | 5.02 | 2014-08-20 | deemed execution date | M | 5,000 (d) | 2021-08-17 | common stock 5,000 | $5.02 | 43,081 | direct | ||
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) | 5.02 | 2014-08-21 | deemed execution date | M | 5,000 (d) | 2021-08-17 | common stock 5,000 | $5.02 | 38,081 | direct |
ID | footnote |
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f1 | the exercise and sale of these stock options was completed pursuant to the rule 10b5-1 trading plan adopted by sigmund anderman. |
f2 | option vests with respect to 25% of the shares subject thereto on august 17, 2012, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on august 17, 2015. |
f3 | 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. |