0001209191-11-022934.txt : 20110414
0001209191-11-022934.hdr.sgml : 20110414
20110414172209
ACCESSION NUMBER: 0001209191-11-022934
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110414
FILED AS OF DATE: 20110414
DATE AS OF CHANGE: 20110414
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JANNEY DANIEL
CENTRAL INDEX KEY: 0001198325
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11760414
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NOHRA GUY P
CENTRAL INDEX KEY: 0001198330
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11760415
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
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: 4155 HOPYARD ROAD, SUITE 200
CITY: PLEASANTON
STATE: CA
ZIP: 94588
BUSINESS PHONE: 925-227-2082
MAIL ADDRESS:
STREET 1: 4155 HOPYARD ROAD, SUITE 200
CITY: PLEASANTON
STATE: CA
ZIP: 94588
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALTA EMBARCADERO PARTNERS II LLC
CENTRAL INDEX KEY: 0001077496
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11760417
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4153624022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GRUENER GARRETT
CENTRAL INDEX KEY: 0001106287
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11760416
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALTA CALIFORNIA PARTNERS II LP
CENTRAL INDEX KEY: 0001245270
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11760419
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4153624022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALTA CALIFORNIA MANAGEMENT PARTNERS II LLC
CENTRAL INDEX KEY: 0001245277
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35140
FILM NUMBER: 11760418
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4153624022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
3
1
doc3.xml
FORM 3 SUBMISSION
X0203
3
2011-04-14
0
0001122388
ELLIE MAE INC
ELLI
0001245270
ALTA CALIFORNIA PARTNERS II LP
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001245277
ALTA CALIFORNIA MANAGEMENT PARTNERS II LLC
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001077496
ALTA EMBARCADERO PARTNERS II LLC
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001106287
GRUENER GARRETT
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001198330
NOHRA GUY P
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001198325
JANNEY DANIEL
ONE EMBARCADERO CENTER
SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
Series D Convertible Preferred Stock
Common Stock
1347671
D
Series D Convertible Preferred Stock
Common Stock
17026
I
See Footnote
Series E Convertible Preferred Stock
Common Stock
230672
D
Series E Convertible Preferred Stock
Common Stock
2914
I
See Footnote
Series F Convertible Preferred Stock
Common Stock
168142
D
Series F Convertible Preferred Stock
Common Stock
2124
I
See Footnote
Warrant to purchase Common Stock
3.00
2001-07-09
Common Stock
17509
D
Warrant to purchase Common Stock
3.00
2001-07-09
Common Stock
221
I
See Footnote
Warrant to purchase Common Stock
3.00
2001-08-09
Common Stock
17509
D
Warrant to purchase Common Stock
3.00
2001-08-09
Common Stock
221
I
See Footnote
Warrant to purchase Common Stock
3.00
2001-10-01
Common Stock
47275
D
Warrant to purchase Common Stock
3.00
2001-10-01
Common Stock
597
I
See Footnote
The shares of Series D Convertible Preferred Stock (the "Series D Shares"), the shares of Series E Convertible Preferred Stock (the "Series E Shares"), and the shares of Series F Convertible Preferred Stock (the "Series F Shares") are immediately convertible into shares of the Issuer's Common Stock at any time after the issuance of such share, at the holder's election.
The Series D Shares, the Series E Shares, and the Series F shares will convert automatically on a one-to-one basis into Common Stock, without the payment of additional consideration, upon the closing of the Issuer's initial public offering and do not have an expiration date.
Reflects 1-3 reverse stock split of the Issuer's outstanding securities effective April 14, 2011.
These securities are beneficially owned by Alta California Partners II, L.P. ("ACPII").
Alta California Management Partners II, LLC ("ACMPII") is the general Partner of ACPII. Garrett Gruener, Guy Nohra, and Dan Janney are members of ACMPII and Mr. Gruener and Mr. Nohra are also members of Alta Embarcadero Partners II, LLC ("AEPII"), along with ACPII shall be known as "the Funds," exercise shared voting and investment power with respect to the securities held by the Funds. Each of the reporting persons disclaim beneficial ownership of such securities, except to the extent of his proportionate pucuniary interest therein.
These securities are beneficially owned by AEPII.
Pursuant to its terms, warrant shall terminate at the closing of the Issuer's initial public offering. The Funds have elected to net exercise the warrants contingent upon and effective immediately prior to the closing of the Issuer's initial public offering of common stock. In the event the Issuer's public offering does not occur, the warrant shall terminate on July 9, 2011, unless earlier terminated in accordance with its terms, in a liquidation or change of control transaction.
Pursuant to its terms, warrant shall terminate at the closing of the Issuer's initial public offering. The Funds have elected to net exercise the warrants contingent upon and effective immediately prior to the closing of the Issuer's initial public offering of common stock. In the event the Issuer's public offering does not occur, the warrant shall terminate on August 9, 2011, unless earlier terminated in accordance with its terms, in a liquidation or change of control transaction.
Pursuant to its terms, warrant shall terminate at the closing of the Issuer's initial public offering. The Funds have elected to net exercise the warrants contingent upon and effective immediately prior to the closing of the Issuer's initial public offering of common stock. In the event the Issuer's public offering does not occur, the warrant shall terminate on October 1, 2011, unless earlier terminated in accordance with its terms, in a liquidation or change of control transaction.
/s/ by Alta California Management Partners II, LLC, general partner, by Garrett Gruener, Member
2011-04-14
/s/ Garrett Gruener, Member
2011-04-14
/s/ Garrett Gruener, Member
2011-04-14
/s/ Garrett Gruener
2011-04-14
/s/ Guy Nohra
2011-04-14
/s/ Daniel Janney
2011-04-14