Filing Details

Accession Number:
0001104659-17-047066
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-26 16:02:44
Reporting Period:
2017-07-24
Filing Date:
2017-07-26
Accepted Time:
2017-07-26 16:02:44
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1337619 Envestnet Inc. ENV () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1336059 Anil Arora 35 East Wacker Drive
Suite 2400
Chicago IL 60601
Envestnet/Yodlee * 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 Disposition 2017-07-24 8,980 $40.00 68,609 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 136 Indirect By Trust for child
Common Stock 136 Indirect By Trust for child
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Restricted Stock Unit $0.00 2018-12-07 50,002 50,002 Direct
Common Stock Restricted Stock Unit $0.00 2020-03-28 20,000 20,000 Direct
Common Stock Employee Stock Option (Right to Buy) $32.46 2025-12-07 20,000 20,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-12-07 50,002 50,002 Direct
2020-03-28 20,000 20,000 Direct
2025-12-07 20,000 20,000 Direct
Footnotes
  1. These shares are held in trust for the benefit of a child of the reporting person for which the reporting person serves as trustee. The reporting person shares voting and investment control over the shares but disclaims beneficial ownership of the shares.
  2. Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
  3. The reporting person was granted 100,000 restricted stock units on December 7, 2015 of which 1/3 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 thereafter.
  4. The shares of Common Stock issuable with respect to the restricted stock units remain subject to restriction until the award becomes vested for all purposes.
  5. Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
  6. This restricted stock award vests over a 3-year period; one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock units and one-twelfth of the total amount vests on each three-month anniversary.
  7. 20,000 options were granted to the reporting person on December 7, 2015. One-twelfth of the total amount vests on each three-month anniversary of the date of grant.
  8. Sale pursuant to 10b5-1 Plan.