Filing Details

Accession Number:
0001104659-16-146940
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-27 19:35:39
Reporting Period:
2016-09-23
Filing Date:
2016-09-27
Accepted Time:
2016-09-27 19:35:39
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
1497442 D Scott Grinis 35 East Wacker Drive
Suite 2400
Chicago IL 60601
Chief Technology 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 2016-09-23 12,000 $7.50 222,668 No 4 M Direct
Common Stock Disposition 2016-09-23 12,000 $39.16 210,668 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 2016-09-23 12,000 $0.00 12,000 $7.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2006-02-01 2017-04-26 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 2008-04-30 2018-04-30 9,000 9,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.15 2009-05-15 2019-05-15 6,000 6,000 Direct
Common Stock Employee Stock Option (Right to Buy) $9.00 2011-07-28 2020-02-28 56,000 56,000 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 10,195 10,195 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 2016-02-28 2025-02-28 6,000 6,000 Direct
Common Stock Employee Stock Option (Right to Buy) $20.51 2017-02-28 2026-02-28 3,234 3,234 Direct
Common Stock Restricted Stock Award $0.00 2017-02-28 1,334 1,334 Direct
Common Stock Restricted Stock Award $0.00 2018-02-28 2,667 2,667 Direct
Common Stock Restricted Stock Award $0.00 2019-02-28 3,234 3,234 Direct
Common Strock Restricted Stock Award $0.00 2019-08-02 35,000 35,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-04-30 9,000 9,000 Direct
2019-05-15 6,000 6,000 Direct
2020-02-28 56,000 56,000 Direct
2021-02-28 10,000 10,000 Direct
2022-02-28 10,195 10,195 Direct
2023-02-28 8,000 8,000 Direct
2024-02-28 6,200 6,200 Direct
2025-02-28 6,000 6,000 Direct
2026-02-28 3,234 3,234 Direct
2017-02-28 1,334 1,334 Direct
2018-02-28 2,667 2,667 Direct
2019-02-28 3,234 3,234 Direct
2019-08-02 35,000 35,000 Direct
Footnotes
  1. The shares reported in column 4 were sold in multiple transactions with a weighted average price of $39.16 per share.
  2. 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.
  3. Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
  4. 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.
  5. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
  6. Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
  7. This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.
  8. This restricted stock unit vests 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.
  9. This restricted stock unit vests over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.