SEC Form 4 · accession 0001104659-15-024747
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott D Grinis
Officer — Chief Technology Officer
Period of report
Mar 27, 2015
Accepted (ET)
Mar 31, 2015 · 5:47 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 StockF1 | Mar 27, 2015 | S | 7,308 | $55.70 | D | 212,154 | D | |
| Common StockF2 | Mar 27, 2015 | S | 2,692 | $56.18 | D | 209,462 | D | |
| Common Stock | Mar 30, 2015 | G | 1,000 | $0.00 | D | 208,462 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $7.50 | holding | — | — | — | Feb 1, 2006 | Nov 14, 2015 | Common Stock | 12,000 | 12,000 | D |
| Employee Stock Option (Right to Buy)F3 | $7.50 | holding | — | — | — | Jun 6, 2008 | Jun 16, 2018 | Common Stock | 9,000 | 9,000 | D |
| Employee Stock Option (Right to Buy)F4 | $7.50 | holding | — | — | — | Apr 26, 2007 | Apr 26, 2017 | Common Stock | 6,000 | 6,000 | D |
| Employee Stock Option (Right to Buy)F4 | $9.00 | holding | — | — | — | Jul 28, 2011 | Feb 28, 2020 | Common Stock | 56,000 | 56,000 | D |
| Employee Stock Option (Right to Buy)F3 | $12.55 | holding | — | — | — | Feb 28, 2012 | Feb 28, 2021 | Common Stock | 10,000 | 10,000 | D |
| Employee Stock Option (Right to Buy)F3 | $12.45 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Common Stock | 10,195 | 10,195 | D |
| Employee Stock Option (Right to Buy)F3 | $15.34 | holding | — | — | — | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 8,000 | 8,000 | D |
| Employee Stock Option (Right to Buy)F3 | $41.84 | holding | — | — | — | Feb 28, 2015 | Feb 28, 2024 | Common Stock | 6,200 | 6,200 | D |
| Employee Stock Option (Right to Buy)F3 | $53.88 | holding | — | — | — | Feb 28, 2016 | Feb 28, 2025 | Common Stock | 6,000 | 6,000 | D |
| Restricted Stock AwardF5,F6,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2016 | Common Stock | 3,120 | 3,120 | D |
| Restricted Stock AwardF5,F6,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2017 | Common Stock | 4,000 | 4,000 | D |
| Restricted Stock AwardF5,F6,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2018 | Common Stock | 4,000 | 4,000 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $55.24 to $55.98, inclusive.
- F2The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $56 to $56.59, inclusive.
- F3Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F4Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F5Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
- F6Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
- F7This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.