Filing Details
- Accession Number:
- 0001104659-17-055213
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-09-01 17:08:55
- Reporting Period:
- 2017-08-30
- Accepted Time:
- 2017-09-01 16:08:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1594496 | Matthew Majoros | 35 East Wacker Drive Suite 2400 Chicago IL 60601 | Principal Accounting 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 | 2017-08-30 | 500 | $13.45 | 5,436 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-30 | 500 | $42.70 | 4,936 | 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 | 2017-08-30 | 500 | $0.00 | 500 | $13.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 500 | 2011-02-22 | 2020-02-22 | 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) | $9.00 | 2011-07-28 | 2020-07-28 | 3,000 | 3,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $31.70 | 2018-03-28 | 2027-03-28 | 1,071 | 1,071 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 2018-02-28 | 609 | 609 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2019-02-28 | 715 | 715 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2020-03-28 | 3,214 | 3,214 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-07-28 | 3,000 | 3,000 | Direct |
| 2027-03-28 | 1,071 | 1,071 | Direct |
| 2018-02-28 | 609 | 609 | Direct |
| 2019-02-28 | 715 | 715 | Direct |
| 2020-03-28 | 3,214 | 3,214 | Direct |
Footnotes
- This option grant vests over a 3 year period; one-third of the total amount vests on each anniversary of the date of grant.
- This option grant vests over a 4 year period; one-fourth of the total amount vests on each anniversary of the date of grant.
- Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
- Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- These restricted stock units vest over a 3-year-period; one-third of the total amount vests on each anniversary of the date of grant.
- These restricted stock units vest 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 then one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
- This option grant vests over a 3-year period; one-third of the total amount vests on the first anniversary of the date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
- Reflects cashless exercise of stock options which were granted pursuant to Rule 16b-3.
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