Filing Details
- Accession Number:
- 0001104659-16-136273
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-02 19:46:21
- Reporting Period:
- 2016-08-01
- Filing Date:
- 2016-08-02
- Accepted Time:
- 2016-08-02 19:46:21
- 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 |
---|---|---|---|---|---|---|---|
1497434 | Shelly O'brien | 35 East Wacker Drive Suite 2400 Chicago IL 60601 | Chief Legal 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 | 2016-08-01 | 2,100 | $7.50 | 7,840 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-01 | 2,100 | $38.01 | 5,740 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2016-08-01 | 2,400 | $7.50 | 8,140 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-01 | 2,400 | $37.99 | 5,740 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
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 | 2016-08-01 | 4,500 | $0.00 | 4,500 | $7.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
40,903 | 2007-04-26 | 2017-04-26 | 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 | 2009-04-30 | 2018-04-30 | 5,000 | 5,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $7.15 | 2010-05-15 | 2019-05-15 | 2,000 | 2,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $9.00 | 2011-07-28 | 2020-07-28 | 18,366 | 18,366 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $12.55 | 2012-02-28 | 2021-02-28 | 3,333 | 3,333 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $12.45 | 2013-02-28 | 2022-02-28 | 3,339 | 3,339 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $15.34 | 2014-02-28 | 2023-02-28 | 7,150 | 7,150 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $41.84 | 2015-02-28 | 2024-02-28 | 5,500 | 5,500 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $53.88 | 2016-02-29 | 2025-02-28 | 4,800 | 4,800 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $20.51 | 2017-02-28 | 2026-02-28 | 2,464 | 2,464 | Direct |
Common Stock | Restricted Stock Award | $0.00 | 2017-02-28 | 1,200 | 1,200 | Direct | |
Common Stock | Restricted Stock Award | $0.00 | 2018-02-28 | 2,134 | 2,134 | Direct | |
Common Stock | Restricted Stock Award | $0.00 | 2019-02-28 | 2,464 | 2,464 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-04-30 | 5,000 | 5,000 | Direct |
2019-05-15 | 2,000 | 2,000 | Direct |
2020-07-28 | 18,366 | 18,366 | Direct |
2021-02-28 | 3,333 | 3,333 | Direct |
2022-02-28 | 3,339 | 3,339 | Direct |
2023-02-28 | 7,150 | 7,150 | Direct |
2024-02-28 | 5,500 | 5,500 | Direct |
2025-02-28 | 4,800 | 4,800 | Direct |
2026-02-28 | 2,464 | 2,464 | Direct |
2017-02-28 | 1,200 | 1,200 | Direct |
2018-02-28 | 2,134 | 2,134 | Direct |
2019-02-28 | 2,464 | 2,464 | Direct |
Footnotes
- A total of 80,000 options were granted on 04/26/2007. 46,403 options were vested and exercisable as of 07/082016.
- Options exercise and sale pursuant to a 10b5-1 plan.
- The shares reported in column 4 were sold in multiple transactions with a weighted average price of $38.01 per share.
- The shares reported in column 4 were sold in multiple transactions with a weighted average price of $37.99 per share.
- Original option grant vests in four installments beginning 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.
- This option grant vests over a 3 year period, one-third of the total amount vests on the first anniversary of the applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
- Each restricted stock unit 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.
- This restricted stock unit vests over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.