SEC Form 4 · accession 0001104659-15-049384
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter D'Arrigo
Officer — Chief Financial Officer
Period of report
Jun 29, 2015
Accepted (ET)
Jul 1, 2015 · 8:25 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 StockF2 | Jun 29, 2015 | M | 10,000 | $7.50 | A | 14,393 | D | |
| Common StockF2,F3 | Jun 29, 2015 | S | 10,000 | $41.62 | D | 4,393 | 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)F1,F4 | $7.50 | Jun 29, 2015 | M | 10,000 | D | Jun 6, 2008 | Jun 16, 2018 | Common Stock | 186,937 | 186,937 | D |
| Employee Stock Option (Right to Buy)F5 | $9.00 | holding | — | — | — | Jul 28, 2011 | Feb 28, 2020 | Common Stock | 86,000 | 86,000 | D |
| Employee Stock Option (Right to Buy)F6 | $12.55 | holding | — | — | — | Feb 28, 2012 | Feb 28, 2021 | Common Stock | 10,000 | 10,000 | D |
| Employee Stock Option (Right to Buy)F6 | $12.45 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Common Stock | 10,195 | 10,195 | D |
| Employee Stock Option (Right to Buy)F6 | $15.34 | holding | — | — | — | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 8,000 | 8,000 | D |
| Employee Stock Option (Right to Buy)F6 | $41.84 | holding | — | — | — | Feb 28, 2015 | Feb 28, 2024 | Common Stock | 10,600 | 10,600 | D |
| Employee Stock Option (Right to Buy)F6 | $53.88 | holding | — | — | — | Feb 28, 2016 | Feb 28, 2025 | Common Stock | 8,250 | 8,250 | D |
| Restricted Stock AwardF8,F9,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2016 | Common Stock | 1,040 | 1,040 | D |
| Restricted Stock AwardF8,F9,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2017 | Common Stock | 4,400 | 4,400 | D |
| Restricted Stock AwardF8,F9,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2018 | Common Stock | 5,500 | 5,500 | D |
Explanation of responses
- F1A total of 220,000 options were granted on 6/16/2008. 196,937 options were vested and exercisable as of 6/29/2015.
- F2Open market 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 $41.50 to $41.84, inclusive.
- F4Original 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.
- F5Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F6Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F7Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
- F8Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
- F9This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.