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
- Represents shares held by a trust in which Mr. Roame is the trustee.
- 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.
- 2,913 options were granted to the Reporting Person on March 2, 2015.
- Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
- 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.
- 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.