SEC Form 4/A · accession 0001104659-15-045537

ENVESTNET, INC. · ENV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Brandon Thomas

Officer — Chief Investment Officer

Period of report

Jun 11, 2015

Accepted (ET)

Jun 16, 2015 · 6:26 am 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^F2	Jun 11, 2015	M	2,200	$7.50	A	227,254	D
Common Stock^F2,F3	Jun 11, 2015	S	2,200	$43.91	D	225,054	D
Common Stock^F2	Jun 12, 2015	M	15,000	$7.50	A	240,054	D
Common Stock^F2,F4	Jun 12, 2015	S	15,000	$43.17	D	225,054	D
Common Stock^F2	Jun 15, 2015	M	7,260	$7.50	A	232,314	D
Common Stock^F2,F5	Jun 15, 2015	S	7,260	$42.82	D	225,054	D
Common Stock^F2	Jun 15, 2015	M	8,040	$7.50	A	233,094	D
Common Stock^F2,F6	Jun 15, 2015	S	8,040	$43.08	D	225,054	D
Common Stock^F7	holding	—	—		—	13,938	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
Employee Stock Option (Right to Buy)^F1,F8	$7.50	Jun 11, 2015	M	—	D	Nov 14, 2006	Nov 14, 2015	Common Stock	30,300	30,300	D
Employee Stock Option (Right to Buy)^F1,F8	$7.50	Jun 12, 2015	M	—	D	Nov 14, 2006	Nov 14, 2015	Common Stock	15,300	15,300	D
Employee Stock Option (Right to Buy)^F1,F8	$7.50	Jun 15, 2015	M	—	D	Nov 14, 2006	Nov 14, 2015	Common Stock	0	0	D
Employee Stock Option (Right to Buy)^F8	$5.00	holding	—	—	—	Nov 14, 2006	Nov 14, 2015	Common Stock	32,500	32,500	D
Employee Stock Option (Right to Buy)^F8	$7.50	holding	—	—	—	Apr 26, 2007	Apr 26, 2017	Common Stock	12,000	12,000	D
Employee Stock Option (Right to Buy)^F8	$7.50	holding	—	—	—	Apr 30, 2009	Apr 30, 2018	Common Stock	9,000	9,000	D
Employee Stock Option (Right to Buy)^F10	$7.15	holding	—	—	—	May 15, 2010	May 15, 2019	Common Stock	6,000	6,000	D
Employee Stock Option (Right to Buy)^F8	$9.00	holding	—	—	—	Jul 28, 2011	Feb 28, 2020	Common Stock	62,000	62,000	D
Employee Stock Option (Right to Buy)^F8	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	10,000	10,000	D
Employee Stock Option (Right to Buy)^F8	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	7,647	7,647	D
Employee Stock Option (Right to Buy)^F8	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	8,000	8,000	D
Employee Stock Option (Right to Buy)^F8	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	6,200	6,200	D
Employee Stock Option (Right to Buy)^F9	$53.88	holding	—	—	—	Feb 29, 2016	Feb 28, 2025	Common Stock	4,800	4,800	D
Restricted Stock Award^F11,F13,F12	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2016	Common Stock	1,040	1,040	D
Restricted Stock Award^F11,F13,F12	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2017	Common Stock	2,667	2,667	D
Restricted Stock Award^F11,F13,F12	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2018	Common Stock	3,200	3,200	D

Explanation of responses

F1A total of 80,000 options were granted on 11/14/2005. 32,500 options were vested and exercisable as of 6/11/2015, 30,300 were vested and exercisable as of 6/12/2015 and 15,300 were vested and exercisable as of 6/15/2015.
F10Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F11Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
F12Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
F13This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.
F2Open market option exercise and sale.
F3The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $43.89 to $43.93, inclusive.
F4The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $43.00 to $43.42, inclusive.
F5The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.66 to $42.99, inclusive.
F6The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $43.00 to $43.23, inclusive.
F7Represents shares held by a trust in which Mr. Thomas is the trustee.
F8Original option grant vests in four installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F9Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.