Filing Details

Accession Number:
0001104659-15-059664
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-08-13 19:25:15
Reporting Period:
2015-08-13
Filing Date:
2015-08-13
Accepted Time:
2015-08-13 19:25:15
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 2015-08-13 415 $35.45 415 No 4 P Direct
Common Stock Disposition 2015-08-13 415 $0.00 4,884 No 4 G Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 G 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 2016-02-28 2025-02-28 2,913 2,913 Indirect
Common Stock Restricted Stock Award $0.00 2015-10-29 283 283 Direct
Common Stock Restricted Stock Award $0.00 2016-07-30 327 164 Direct
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
2025-02-28 2,913 2,913 Indirect
2015-10-29 283 283 Direct
2016-07-30 327 164 Direct
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. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
  4. 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 is reported in Table I on a Form 4 filied 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.
  5. 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 vested on July 30, 2015. The common stock into which such vested restricted stock units converted on July 30, 2015 is reported in Table I on this Form 4. 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.