Filing Details

Accession Number:
0001104659-15-068467
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-09-30 20:09:20
Reporting Period:
2015-09-29
Filing Date:
2015-09-30
Accepted Time:
2015-09-30 19:09:20
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
1497437 Brandon Thomas 35 East Wacker Drive
Suite 2400
Chicago IL 60601
Chief Investment 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 2015-09-29 12,142 $5.00 237,196 No 4 M Direct
Common Stock Disposition 2015-09-29 2,363 $29.90 234,833 No 4 S Direct
Common Stock Disposition 2015-09-29 4,412 $30.07 230,421 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S 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 2015-09-29 12,142 $0.00 12,142 $5.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2006-11-14 2015-11-14 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 13,938 Indirect See footnote
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 12,000 12,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.50 2009-04-30 2018-04-30 9,000 9,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.15 2018-04-30 6,000 6,000 Direct
Common Stock Employee Stock Option (Right to Buy) $9.00 2011-07-28 2020-02-28 62,000 62,000 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 7,647 7,647 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 2016-02-29 2025-02-28 4,800 4,800 Direct
Common Stock Restricted Stock Award $0.00 2016-02-29 2016-02-28 1,040 1,040 Direct
Common Stock Restricted Stock Award $0.00 2016-02-29 2017-02-28 2,667 2,667 Direct
Common Stock Restricted Stock Award $0.00 2016-02-29 2018-02-28 3,200 3,200 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-04-26 12,000 12,000 Direct
2018-04-30 9,000 9,000 Direct
2018-04-30 6,000 6,000 Direct
2020-02-28 62,000 62,000 Direct
2021-02-28 10,000 10,000 Direct
2022-02-28 7,647 7,647 Direct
2023-02-28 8,000 8,000 Direct
2024-02-28 6,200 6,200 Direct
2025-02-28 4,800 4,800 Direct
2016-02-28 1,040 1,040 Direct
2017-02-28 2,667 2,667 Direct
2018-02-28 3,200 3,200 Direct
Footnotes
  1. A total of 32,500 options were granted on 11/14/2005. 12,142 options were vested and exercisable as of 9/29/2015.
  2. Open market exercise of an Envestnet, Inc. stock option by means of a cashless-sell-to-cover method (selling enough shares to cover option share purchase price, fee and taxes, then retaining the remaining shares).
  3. The prices reported in column 4 are weighted average prices. 2,363 shares were sold in multiple transactions at prices ranging from $29.85 to $29.93, inclusive and 4,412 shares were sold in multiple transactions at prices ranging from $30.00 to $30.21 inclusive.
  4. Represents shares held by a trust in which Mr. Thomas is the trustee.
  5. 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.
  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 stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
  10. This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.