SEC Form 4 · accession 0001104659-15-059203
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judson Bergman
Officer — Chief Executive Officer · Director
Period of report
Aug 12, 2015
Accepted (ET)
Aug 12, 2015 · 6:12 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 | Aug 12, 2015 | M | 20,000 | $5.00 | A | 614,214 | 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,F3 | $5.00 | Aug 12, 2015 | M | 20,000 | D | Feb 1, 2006 | Nov 14, 2015 | Common Stock | 20,000 | 0 | D |
| Employee Stock Option (Right to Buy)F4 | $7.50 | holding | — | — | — | Apr 26, 2007 | Apr 26, 2017 | Common Stock | 200,000 | 200,000 | D |
| Employee Stock Option (Right to Buy)F4 | $7.50 | holding | — | — | — | Apr 30, 2009 | Apr 30, 2018 | Common Stock | 36,000 | 36,000 | D |
| Employee Stock Option (Right to Buy)F4 | $7.15 | holding | — | — | — | May 15, 2010 | May 15, 2019 | Common Stock | 15,000 | 15,000 | D |
| Employee Stock Option (Right to Buy)F5 | $9.00 | holding | — | — | — | Jul 28, 2011 | Jul 28, 2020 | Common Stock | 376,000 | 376,000 | 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)F5 | $12.45 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Common Stock | 7,951 | 8 | D |
| Employee Stock Option (Right to Buy)F5 | $15.34 | holding | — | — | — | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 9,408 | 9,408 | D |
| Employee Stock Option (Right to Buy)F5 | $41.84 | holding | — | — | — | Feb 28, 2015 | Feb 28, 2024 | Common Stock | 20,300 | 20,300 | D |
| Employee Stock Option (Right to Buy)F5 | $53.88 | holding | — | — | — | Feb 29, 2016 | Feb 28, 2025 | Common Stock | 17,400 | 17,400 | D |
| Restricted Stock AwardF6,F7,F8 | — | holding | — | — | — | Feb 29, 2016 | Feb 29, 2016 | Common Stock | 1,212 | 1,212 | D |
| Restricted Stock AwardF6,F7,F8 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2017 | Common Stock | 8,400 | 8,400 | D |
| Restricted Stock AwardF6,F7,F8 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2018 | Common Stock | 11,600 | 11,600 | D |
Explanation of responses
- F1A total of 170,000 options were granted on 11/14/2005. 150,000 options were previously exercised and the remaining 20,000 options were vested and exercisable as of August 12, 2015.
- F2Option exercise and hold.
- F3Original option grant vests in four installments beginning on February 1, 2006 and the remaining three installments on May 31 as listed in the "Date Exercisable" column.
- F4Original option grant vests in three installments beginning 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.
- F6Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
- F7Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
- F8This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.