Sec Form 4 Filing - Henricks Alan S. @ ELLIE MAE INC - 2014-01-14

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Henricks Alan S.
2. Issuer Name and Ticker or Trading Symbol
ELLIE MAE INC [ ELLI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O ELLIE MAE, INC., 4155 HOPYARD ROAD, SUITE 200
3. Date of Earliest Transaction (MM/DD/YY)
01/14/2014
(Street)
PLEASANTON, CA94588
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/14/2014( 1 ) M 1,250 A $ 8.85 1,250 D
Common Stock 01/14/2014( 1 ) S 1,250 D $ 26.75 0 D
Common Stock 12,700 I by Trust ( 2 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Non-Qualified Stock Option (right to buy) $ 8.85 01/14/2014( 1 ) M 1,250 ( 3 ) 08/26/2020 Common Stock 1,250 ( 4 ) 7,916 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Henricks Alan S.
C/O ELLIE MAE, INC.
4155 HOPYARD ROAD, SUITE 200
PLEASANTON, CA94588
X
Signatures
/s/ Alan S. Henricks 01/15/2014
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The exercise and sale of these stock options was completed pursuant to the Rule 10b5-1 trading plan adopted by Alan S. Henricks.
( 2 )5,000 shares were purchased pursuant to the Issuer's Directed Share Program in connection with the Issuer's initial public offering. 2,700 shares were acquired on August 23, 2011 on the open market. 5,000 shares were exercised pursuant to Issuer's Stock Option Plan on November 5, 2012. These securities are held by the Henricks Family Trust UDT dated July 28, 1992.
( 3 )Option vests with respect to 1/12th of the shares subject thereto monthly commencing on August 26, 2010, such that the option will be fully vested and exercisable on August 26, 2011.
( 4 )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.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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