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