Filing Details
- Accession Number:
- 0001104659-15-049385
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-07-01 20:26:10
- Reporting Period:
- 2015-06-30
- Filing Date:
- 2015-07-01
- Accepted Time:
- 2015-07-01 20:26:10
- 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 |
---|---|---|---|---|---|---|---|
1497462 | Judson Bergman | 35 East Wacker Drive Suite 2400 Chicago IL 60601 | Chief Executive Officer | Yes | Yes | 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 | 2015-06-30 | 20,000 | $5.00 | 614,214 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-06-30 | 20,000 | $40.58 | 594,214 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-06-30 | 20,000 | $0.00 | 20,000 | $5.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
20,000 | 2006-02-01 | 2015-11-14 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (Right to Buy) | $7.50 | 2007-04-26 | 2017-04-26 | 200,000 | 200,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $7.50 | 2009-04-30 | 2018-04-30 | 36,000 | 36,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $7.15 | 2010-05-15 | 2019-05-15 | 15,000 | 15,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $9.00 | 2011-07-28 | 2020-07-28 | 376,000 | 376,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $12.55 | 2012-02-28 | 2021-02-28 | 10,000 | 10,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $12.45 | 2013-02-28 | 2022-02-28 | 7,951 | 8 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $15.34 | 2014-02-28 | 2023-02-28 | 9,408 | 9,408 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $41.84 | 2015-02-28 | 2024-02-28 | 20,300 | 20,300 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $53.88 | 2016-02-29 | 2025-02-28 | 17,400 | 17,400 | Direct |
Common Stock | Restricted Stock Award | $0.00 | 2016-02-29 | 2016-02-29 | 1,212 | 1,212 | Direct |
Common Stock | Restricted Stock Award | $0.00 | 2016-02-29 | 2017-02-28 | 8,400 | 8,400 | Direct |
Common Stock | Restricted Stock Award | $0.00 | 2016-02-29 | 2018-02-28 | 11,600 | 11,600 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-04-26 | 200,000 | 200,000 | Direct |
2018-04-30 | 36,000 | 36,000 | Direct |
2019-05-15 | 15,000 | 15,000 | Direct |
2020-07-28 | 376,000 | 376,000 | Direct |
2021-02-28 | 10,000 | 10,000 | Direct |
2022-02-28 | 7,951 | 8 | Direct |
2023-02-28 | 9,408 | 9,408 | Direct |
2024-02-28 | 20,300 | 20,300 | Direct |
2025-02-28 | 17,400 | 17,400 | Direct |
2016-02-29 | 1,212 | 1,212 | Direct |
2017-02-28 | 8,400 | 8,400 | Direct |
2018-02-28 | 11,600 | 11,600 | Direct |
Footnotes
- A total of 170,000 options were granted on 11/14/2005. 40,000 options were vested and exercisable as of June 30,2015.
- Open market option exercise and sale
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.40 to $40.95 inclusive.
- Original option grant vests in four installments beginning on February 1, 2006 and the remaining three installments on May 31 as listed in the "Date Exercisable" column.
- Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
- Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
- This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.