Filing Details

Accession Number:
0001104659-15-016376
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-03-03 19:42:29
Reporting Period:
2015-03-02
Filing Date:
2015-03-03
Accepted Time:
2015-03-03 19:42:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1337619 Envestnet Inc. ENV Services-Business Services, Nec (7389) 201409613
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1527569 Charles Roame 35 East Wacker Drive
Suite 2400
Chicago IL 60601
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-03-03 165 $54.90 165 No 4 P Direct
Common Stock Disposition 2015-03-03 165 $0.00 0 No 4 G Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 G Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Director Stock Option (Right to Buy) Acquisiton 2015-03-02 2,913 $55.29 2,913 $55.29
Common Stock Director Stock Option (Right to Buy) Disposition 2015-03-02 2,913 $55.29 2,913 $55.29
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,913 2016-03-02 2025-03-02 No 4 A Direct
0 2016-03-02 2025-03-02 No 4 G Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,306 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Director Stock Option (Right to Buy) $12.45 2013-02-28 2022-02-28 2,334 2,334 Indirect
Common Stock Director Stock Option (Right to Buy) $15.34 2014-02-28 2023-02-28 8,116 8,116 Indirect
Common Stock Director Stock Option (Right to Buy) $41.84 2015-02-28 2024-02-28 3,506 3,506 Indirect
Common Stock Director Stock Option (Right to Buy) $55.29 2016-03-02 2025-03-02 2,913 2,913 Indirect
Common Stock Restricted Stock Award $0.00 2015-10-29 283 283 Indirect
Common Stock Restricted Stock Award $0.00 2016-07-30 327 327 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-02-28 2,334 2,334 Indirect
2023-02-28 8,116 8,116 Indirect
2024-02-28 3,506 3,506 Indirect
2025-03-02 2,913 2,913 Indirect
2015-10-29 283 283 Indirect
2016-07-30 327 327 Indirect
Footnotes
  1. Represents shares held by a trust in which Mr. Roame is the trustee.
  2. Original option grant vests monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary of the grant.as listed in the "Date Exercisable" column.
  3. 2,913 options were granted to the Reporting Person on March 2, 2015.
  4. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
  5. The reporting person was granted 567 restricted stock units on October 29, 2013, of which 1/2 of the shares subject to the restricted stock units of the grant vested on October 29, 2014. The common stock into which such vested restricted stock units converted on October 29, 2014 was reported in Table I on a Form 4 filed on October 31, 2014. The remaining unvested restricted stock units will continue to vest as to 1/2 of the original number of shares subject to the restricted stock awards on October 29, 2015.
  6. The reporting person was granted 327 restricted stock units on July 30, 2014, of which 1/2 of the shares subject to the restricted stock units of the grant will vest on July 30, 2015. The grant was reported in Table II on a Form 4 filed on August 1, 2014. The remaining unvested restricted stock units will continue to vest as to 1/2 of the original number of shares subject to the restricted stock awards on July 30, 2016.