Filing Details

Accession Number:
0001104659-17-005912
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-01 19:26:01
Reporting Period:
2017-02-01
Filing Date:
2017-02-01
Accepted Time:
2017-02-01 19:26:01
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
Chief Legal 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 2017-02-01 4,500 $7.50 10,240 No 4 M Direct
Common Stock Disposition 2017-02-01 4,500 $37.95 5,740 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 2017-02-01 4,500 $0.00 16,403 $7.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
11,903 2007-04-26 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 2009-04-30 2018-04-30 5,000 5,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.15 2010-05-15 2019-05-15 2,000 2,000 Direct
Common Stock Employee Stock Option (Right to Buy) $9.00 2011-07-28 2020-07-28 18,366 18,366 Direct
Common Stock Employee Stock Option (Right to Buy) $12.55 2012-02-28 2021-02-28 3,333 3,333 Direct
Common Stock Employee Stock Option (Right to Buy) $12.45 2013-02-28 2022-02-28 3,339 3,339 Direct
Common Stock Employee Stock Option (Right to Buy) $15.34 2014-02-28 2023-02-28 7,150 7,150 Direct
Common Stock Employee Stock Option (Right to Buy) $41.84 2015-02-28 2024-02-28 5,500 5,500 Direct
Common Stock Employee Stock Option (Right to Buy) $53.88 2016-02-29 2025-02-28 4,800 4,800 Direct
Common Stock Employee Stock Option (Right to Buy) $20.51 2017-02-28 2026-02-28 2,464 2,464 Direct
Common Stock Restricted Stock Award $0.00 2017-02-28 1,200 1,200 Direct
Common Stock Restricted Stock Award $0.00 2018-02-28 2,134 2,134 Direct
Common Stock Restricted Stock Award $0.00 2019-02-28 2,464 2,464 Direct
Common Stock Restricted Stock Award $0.00 2019-08-02 25,000 25,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-04-30 5,000 5,000 Direct
2019-05-15 2,000 2,000 Direct
2020-07-28 18,366 18,366 Direct
2021-02-28 3,333 3,333 Direct
2022-02-28 3,339 3,339 Direct
2023-02-28 7,150 7,150 Direct
2024-02-28 5,500 5,500 Direct
2025-02-28 4,800 4,800 Direct
2026-02-28 2,464 2,464 Direct
2017-02-28 1,200 1,200 Direct
2018-02-28 2,134 2,134 Direct
2019-02-28 2,464 2,464 Direct
2019-08-02 25,000 25,000 Direct
Footnotes
  1. A total of 80,000 options were granted on 04/26/2007. 16,403 options were vested and exercisable as of 2/1/2017.
  2. Option exercise and sale pursuant to a 10b5-1 plan established to allow the exercise and sale of options which will be forfeited if not exercised prior to the April 26, 2017 expiration date.
  3. The shares reported in column 4 were sold in one transaction with a price of $35.45 per share.
  4. Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
  5. Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
  6. 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.
  7. Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock
  8. Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
  9. This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.
  10. 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.
  11. 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.