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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 40.32 | 12/31/2014 | A | 76,648 | (5) | 12/31/2024 | Common Stock | 76,648 | $ 0 | 76,648 | D | ||||
Stock Option (Right to Buy) | $ 40.33 | 01/05/2015 | A | 71,648 | (6) | 01/05/2025 | Common Stock | 71,648 | $ 0 | 71,648 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Anderman Sigmund C/O ELLIE MAE, INC. 4155 HOPYARD ROAD, SUITE 200 PLEASANTON, CA 94588 |
X | Chief Executive Officer |
/s/ LeeAnn Linck, Attorney-in-Fact for Sigmund Anderman | 01/05/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The transactions in the Issuer's Common Stock reported herein were share transfers for no consideration from Sigmund Anderman TR DTD 3/3/2006 Sigmund and Susan Anderman Family Trust, for which the Reporing Person is trustee (the "Family Trust"). |
(2) | The shares are directly held by the Family Trust. |
(3) | The shares are directly held by Sigmund Anderman TTEE Sigmund Anderman 2014 GRAT U/A DTD 12/12/2014. |
(4) | The shares are directly held by Susan Anderman TTEE Susan Anderman 2014 GRAT U/A DTD 12/12/2014. |
(5) | Option vests with respect to 25% of the shares subject thereto on December 31, 2015, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on December 31, 2018. |
(6) | Option vests with respect to 25% of the shares subject thereto on January 5, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 5, 2019. |