Filing Details
- Accession Number:
- 0001104659-17-058867
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-09-26 16:05:33
- Reporting Period:
- 2017-09-22
- Accepted Time:
- 2017-09-26 16:05:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1337619 | Envestnet Inc. | ENV | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1336059 | Anil Arora | 35 East Wacker Drive Suite 2400 Chicago IL 60601 | Envestnet | Yodlee * | Yes | 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 | Disposition | 2017-09-22 | 16,418 | $50.00 | 56,175 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 136 | Indirect | By Trust for child |
| Common Stock | 136 | Indirect | By Trust for child |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | $0.00 | 2018-12-07 | 41,669 | 41,669 | Direct | |
| Common Stock | Restricted Stock Unit | $0.00 | 2020-03-28 | 20,000 | 20,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $32.46 | 2025-12-07 | 20,000 | 20,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-12-07 | 41,669 | 41,669 | Direct |
| 2020-03-28 | 20,000 | 20,000 | Direct |
| 2025-12-07 | 20,000 | 20,000 | Direct |
Footnotes
- These shares are held in trust for the benefit of a child of the reporting person for which the reporting person serves as trustee. The reporting person shares voting and investment control over the shares but disclaims beneficial ownership of the shares.
- Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
- These restricted stock units vest over a 3-year period; one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock units and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
- The shares of Common Stock issuable with respect to the restricted stock units remain subject to restriction until the award becomes vested for all purposes.
- Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- This option grant vests over a 3 year period; one-twelfth of the total amount vests on each three-month anniversary of the date of grant.
- Sale pursuant to 10b5-1 Plan.
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