Filing Details
- Accession Number:
- 0001104659-15-068467
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-09-30 20:09:20
- Reporting Period:
- 2015-09-29
- Filing Date:
- 2015-09-30
- Accepted Time:
- 2015-09-30 19:09:20
- 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 |
|---|---|---|---|---|---|---|---|
| 1497437 | Brandon Thomas | 35 East Wacker Drive Suite 2400 Chicago IL 60601 | Chief Investment Officer | No | 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 | 2015-09-29 | 12,142 | $5.00 | 237,196 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-09-29 | 2,363 | $29.90 | 234,833 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-09-29 | 4,412 | $30.07 | 230,421 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2015-09-29 | 12,142 | $0.00 | 12,142 | $5.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-11-14 | 2015-11-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 13,938 | Indirect | See footnote |
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 | 12,000 | 12,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $7.50 | 2009-04-30 | 2018-04-30 | 9,000 | 9,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $7.15 | 2018-04-30 | 6,000 | 6,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $9.00 | 2011-07-28 | 2020-02-28 | 62,000 | 62,000 | 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 | 7,647 | 7,647 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $15.34 | 2014-02-28 | 2023-02-28 | 8,000 | 8,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $41.84 | 2015-02-28 | 2024-02-28 | 6,200 | 6,200 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $53.88 | 2016-02-29 | 2025-02-28 | 4,800 | 4,800 | Direct |
| Common Stock | Restricted Stock Award | $0.00 | 2016-02-29 | 2016-02-28 | 1,040 | 1,040 | Direct |
| Common Stock | Restricted Stock Award | $0.00 | 2016-02-29 | 2017-02-28 | 2,667 | 2,667 | Direct |
| Common Stock | Restricted Stock Award | $0.00 | 2016-02-29 | 2018-02-28 | 3,200 | 3,200 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-04-26 | 12,000 | 12,000 | Direct |
| 2018-04-30 | 9,000 | 9,000 | Direct |
| 2018-04-30 | 6,000 | 6,000 | Direct |
| 2020-02-28 | 62,000 | 62,000 | Direct |
| 2021-02-28 | 10,000 | 10,000 | Direct |
| 2022-02-28 | 7,647 | 7,647 | Direct |
| 2023-02-28 | 8,000 | 8,000 | Direct |
| 2024-02-28 | 6,200 | 6,200 | Direct |
| 2025-02-28 | 4,800 | 4,800 | Direct |
| 2016-02-28 | 1,040 | 1,040 | Direct |
| 2017-02-28 | 2,667 | 2,667 | Direct |
| 2018-02-28 | 3,200 | 3,200 | Direct |
Footnotes
- A total of 32,500 options were granted on 11/14/2005. 12,142 options were vested and exercisable as of 9/29/2015.
- Open market exercise of an Envestnet, Inc. stock option by means of a cashless-sell-to-cover method (selling enough shares to cover option share purchase price, fee and taxes, then retaining the remaining shares).
- The prices reported in column 4 are weighted average prices. 2,363 shares were sold in multiple transactions at prices ranging from $29.85 to $29.93, inclusive and 4,412 shares were sold in multiple transactions at prices ranging from $30.00 to $30.21 inclusive.
- Represents shares held by a trust in which Mr. Thomas is the trustee.
- Original option grant vests in four installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant 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 stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
- This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.
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