SEC Form 5 · accession 0001104659-15-010552
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Roame
Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 7:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001337619
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 21, 2015 | G | 3,857 | $0.00 | D | 0 | D | |
| Common StockF1 | holding | — | — | — | 4,141 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (Right to Buy)F2 | $41.84 | Jul 21, 2014 | G | 3,506 | D | — | Feb 28, 2024 | Common Stock | 3,506 | 0 | D |
| Director Stock Option (Right to Buy)F3 | $15.34 | Jul 21, 2014 | G | 8,116 | D | — | Feb 28, 2023 | Common Stock | 8,116 | 0 | D |
| Director Stock Option (Right to Buy)F4 | $12.45 | Jul 21, 2014 | G | 2,334 | D | — | Feb 28, 2022 | Common Stock | 2,334 | 0 | D |
| Director Stock Option (Right to Buy)F1,F2 | $41.84 | holding | — | — | — | — | Feb 28, 2024 | Common Stock | 3,506 | 3,506 | I |
| Director Stock Option (Right to Buy)F1,F3 | $15.34 | holding | — | — | — | — | Feb 28, 2023 | Common Stock | 8,116 | 8,116 | I |
| Director Stock Option (Right to Buy)F1,F4 | $12.45 | holding | — | — | — | — | Feb 28, 2022 | Common Stock | 2,334 | 2,334 | I |
Explanation of responses
- F1Represents shares held by a trust in which Mr. Roame is the trustee.
- F23,506 options were granted to the Reporting Person on 2/28/2014. Such options will vest monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary (2/28/2015) of the grant.
- F38,116 options were granted to the Reporting Person on 02/28/2013. Such options will vest monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary (02/28/2014) of the grant.
- F42,334 options were granted to the Reporting Person on 2/29/2012. Such options will vest monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary (2/28/2013) of the grant.