Filing Details
- Accession Number:
- 0001104659-13-075776
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-15 20:39:30
- Reporting Period:
- 2013-10-11
- Filing Date:
- 2013-10-15
- Accepted Time:
- 2013-10-15 20:39:30
- 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 | General Counsel | 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 | 2013-10-11 | 5,000 | $7.50 | 5,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-11 | 5,000 | $29.25 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-10-11 | 5,000 | $5.00 | 5,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-11 | 5,000 | $29.25 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-10-11 | 8,597 | $7.50 | 8,597 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-11 | 8,597 | $29.25 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-10-11 | 1,403 | $0.11 | 1,403 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-11 | 1,403 | $29.25 | 0 | 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 | |
| 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 | 2013-10-11 | 5,000 | $0.00 | 5,000 | $7.50 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-10-11 | 5,000 | $0.00 | 5,000 | $5.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-10-11 | 8,597 | $0.00 | 9 | $7.50 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-10-11 | 1,403 | $0.00 | 1,403 | $0.11 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-11-14 | No | 4 | M | Direct | |
| 0 | 2015-11-14 | No | 4 | M | Direct | |
| 71,403 | 2017-04-26 | No | 4 | M | Direct | |
| 0 | 2017-04-26 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 442 | Direct |
Footnotes
- A total of 5,000 options were granted on 11/14/2005. All options were vested and exercisable as of 11/14/2007.
- A total of 5,000 options were granted on 11/14/2005. All options were vested and exercisable as of 11/14/2007.
- A total of 80,000 options were granted on 4/26/2007. All options were vested and exercisable as of 4/26/2010.
- A total of 1,403 options were granted on 4/26/2007. All options were vested and exercisable as of 4/26/2010.
- Option exercise and sale pursuant to Issuer Secondary Offering.
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