Filing Details

Accession Number:
0001104659-15-019239
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-03-12 18:33:40
Reporting Period:
2015-03-10
Filing Date:
2015-03-12
Accepted Time:
2015-03-12 17:33:40
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
1497462 Judson Bergman 35 East Wacker Drive
Suite 2400
Chicago IL 60601
Chief Executive Officer 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 Acquisiton 2015-03-10 100,000 $5.00 694,214 No 4 M Direct
Common Stock Disposition 2015-03-10 100,000 $51.75 594,214 No 4 S Direct
Common Stock Acquisiton 2015-03-10 45,000 $7.50 639,214 No 4 M Direct
Common Stock Disposition 2015-03-10 45,000 $51.75 594,214 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 2015-03-10 100,000 $0.00 100,000 $5.00
Common Stock Employee Stock Option (Right to Buy) Disposition 2015-03-10 45,000 $0.00 45,000 $7.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
70,000 2006-02-01 2015-11-14 No 4 M Direct
0 2006-02-01 2015-11-14 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 2007-04-26 2017-04-26 200,000 200,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.50 2009-04-30 2018-04-30 36,000 36,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.15 2010-05-15 2019-05-15 15,000 15,000 Direct
Common Stock Employee Stock Option (Right to Buy) $9.00 2011-07-28 2020-07-28 376,000 376,000 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 7,951 7,951 Direct
Common Stock Employee Stock Option (Right to Buy) $15.34 2014-02-28 2023-02-28 9,408 9,408 Direct
Common Stock Employee Stock Option (Right to Buy) $41.84 2015-02-28 2024-02-28 20,300 20,300 Direct
Common Stock Employee Stock Option (Right to Buy) $53.88 2016-02-29 2025-02-28 17,400 17,400 Direct
Common Stock Restricted Stock Award $0.00 2016-02-29 2016-02-29 1,212 1,212 Direct
Common Stock Restricted Stock Award $0.00 2016-02-29 2017-02-28 8,400 8,400 Direct
Common Stock Restricted Stock Award $0.00 2016-02-29 2018-02-28 11,600 11,600 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-04-26 200,000 200,000 Direct
2018-04-30 36,000 36,000 Direct
2019-05-15 15,000 15,000 Direct
2020-07-28 376,000 376,000 Direct
2021-02-28 10,000 10,000 Direct
2022-02-28 7,951 7,951 Direct
2023-02-28 9,408 9,408 Direct
2024-02-28 20,300 20,300 Direct
2025-02-28 17,400 17,400 Direct
2016-02-29 1,212 1,212 Direct
2017-02-28 8,400 8,400 Direct
2018-02-28 11,600 11,600 Direct
Footnotes
  1. A total of 170,000 options were granted on 11/14/2005. 170,000 options were vested and exercisable as of 3/10/2015.
  2. A total of 170 000 options were granted on 11/14/2005. 45,000 options were vested and exercisable as of 3/10/2015.
  3. Option exercise and sale pursuant to a 10b5-1 plan.
  4. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.38 to $53.24 inclusive.
  5. Original option grant vests in four installments beginning on February 1, 2006 and the remaining three installments on May 31 as listed in the "Date Exercisable" column.
  6. Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
  7. Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
  8. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
  9. Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
  10. This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.