SEC Form 4 · accession 0001104659-15-023556
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yves Sisteron
Director
Period of report
Mar 25, 2015
Accepted (ET)
Mar 27, 2015 · 9:09 pm EDT
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 | Mar 25, 2015 | S | 1,000 | $55.18 | D | 83,694 | I | By Rodeo Alpine LLC |
| Common Stock | Mar 25, 2015 | S | 1,000 | $55.18 | D | 65,897 | I | By Shadow Hill LLC |
| Common StockF1 | Mar 25, 2015 | S | 1,902 | $55.18 | D | 20,930 | I | By The Sisteron Family Trust |
| Common Stock | Mar 26, 2015 | S | 9,500 | $54.87 | D | 74,194 | I | By Rodeo Alpine LLC |
| Common Stock | Mar 26, 2015 | S | 9,500 | $54.87 | D | 56,397 | I | By Shadow Hill LLC |
| Common Stock | Mar 26, 2015 | S | 20,930 | $54.87 | D | 0 | I | By The Sisteron Family Trust |
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 | $12.55 | holding | — | — | — | Feb 28, 2012 | Feb 28, 2021 | Common Stock | 2,990 | 2,990 | D |
| Director Stock Option (Right to Buy)F2 | $12.45 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Common Stock | 6,495 | 6 | D |
| Director Stock Option (Right to Buy)F2 | $15.34 | holding | — | — | — | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 8,837 | 8,837 | D |
| Director Stock Option (Right to Buy)F2 | $41.84 | holding | — | — | — | Feb 28, 2015 | Feb 28, 2024 | Common Stock | 4,183 | 4,183 | D |
| Director Stock Option (Right to Buy)F2 | $55.29 | holding | — | — | — | Feb 28, 2016 | Feb 28, 2025 | Common Stock | 2,913 | 2,913 | D |
Explanation of responses
- F1Total includes 15,000 Common Stock transferred from the reporting person's direct ownership to the reporting person's indirect ownership by trust on September 18, 2012 and also includes the corrected amount reflected in the Form 4 amendment filed as of the date hereof to the Form 4 dated March 4, 2014 and filed on March 6, 2014.
- F2Original option grant vests 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 of the grant.as listed in the "Date Exercisable" column.