Filing Details
- Accession Number:
- 0001104659-17-027044
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-27 17:42:17
- Reporting Period:
- 2017-04-25
- Filing Date:
- 2017-04-27
- Accepted Time:
- 2017-04-27 17:42:17
- 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 | 2017-04-25 | 1,000 | $7.50 | 11,751 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 1,000 | $35.00 | 10,751 | 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 | 2017-04-25 | 1,000 | $0.00 | 3,000 | $7.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,000 | 2009-04-30 | 2018-04-30 | 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) | $7.15 | 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 | Employee Stock Option (Right to Buy) | $31.70 | 2018-03-28 | 2027-03-28 | 1,667 | 1,667 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 2018-02-28 | 1,067 | 1,067 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2019-02-28 | 1,643 | 1,643 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2019-08-02 | 29,834 | 21 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2020-03-28 | 5,000 | 5,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 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 |
| 2027-03-28 | 1,667 | 1,667 | Direct |
| 2018-02-28 | 1,067 | 1,067 | Direct |
| 2019-02-28 | 1,643 | 1,643 | Direct |
| 2019-08-02 | 29,834 | 21 | Direct |
| 2020-03-28 | 5,000 | 5,000 | Direct |
Footnotes
- 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.
- The reporting person was granted 3,200 restricted stock units on February 28, 2015. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested.
- These restricted stock units vest 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.
- These restricted stock units over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
- A total of 5,000 options were granted on 04/30/2008. 3,000 options were vested and exercisable as of 04/25/2017.
- Option and exercise and sale pursuant to a 10b5-1 Plan established to allow the exercise and sale of options which will be forfeited if not exercised prior to the April 30, 2018 expiration date.
- The shares reported in column 4 were sold in one transaction with a price of $35 per share.
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