Filing Details
- Accession Number:
- 0001104659-16-146940
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-27 19:35:39
- Reporting Period:
- 2016-09-23
- Filing Date:
- 2016-09-27
- Accepted Time:
- 2016-09-27 19:35:39
- 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 |
---|---|---|---|---|---|---|---|
1497442 | D Scott Grinis | 35 East Wacker Drive Suite 2400 Chicago IL 60601 | Chief Technology 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 | 2016-09-23 | 12,000 | $7.50 | 222,668 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-09-23 | 12,000 | $39.16 | 210,668 | 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 | 2016-09-23 | 12,000 | $0.00 | 12,000 | $7.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2006-02-01 | 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 | 2008-04-30 | 2018-04-30 | 9,000 | 9,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $7.15 | 2009-05-15 | 2019-05-15 | 6,000 | 6,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $9.00 | 2011-07-28 | 2020-02-28 | 56,000 | 56,000 | 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 | 10,195 | 10,195 | 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 | 2016-02-28 | 2025-02-28 | 6,000 | 6,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $20.51 | 2017-02-28 | 2026-02-28 | 3,234 | 3,234 | Direct |
Common Stock | Restricted Stock Award | $0.00 | 2017-02-28 | 1,334 | 1,334 | Direct | |
Common Stock | Restricted Stock Award | $0.00 | 2018-02-28 | 2,667 | 2,667 | Direct | |
Common Stock | Restricted Stock Award | $0.00 | 2019-02-28 | 3,234 | 3,234 | Direct | |
Common Strock | Restricted Stock Award | $0.00 | 2019-08-02 | 35,000 | 35,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-04-30 | 9,000 | 9,000 | Direct |
2019-05-15 | 6,000 | 6,000 | Direct |
2020-02-28 | 56,000 | 56,000 | Direct |
2021-02-28 | 10,000 | 10,000 | Direct |
2022-02-28 | 10,195 | 10,195 | Direct |
2023-02-28 | 8,000 | 8,000 | Direct |
2024-02-28 | 6,200 | 6,200 | Direct |
2025-02-28 | 6,000 | 6,000 | Direct |
2026-02-28 | 3,234 | 3,234 | Direct |
2017-02-28 | 1,334 | 1,334 | Direct |
2018-02-28 | 2,667 | 2,667 | Direct |
2019-02-28 | 3,234 | 3,234 | Direct |
2019-08-02 | 35,000 | 35,000 | Direct |
Footnotes
- The shares reported in column 4 were sold in multiple transactions with a weighted average price of $39.16 per share.
- 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.
- 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 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 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 1/3 of the shares vesting on the first anniversary of the date of grant and one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
- 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.