SEC Form 4 · accession 0001104659-15-059664

ENVESTNET, INC. · ENV

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

Reporting owner

Director

Period of report

Aug 13, 2015

Accepted (ET)

Aug 13, 2015 · 7:25 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 Stock	Aug 13, 2015	P	415	$35.45	A	415	D
Common Stock^F1	Aug 13, 2015	G	415	$0.00	D	4,884	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Director Stock Option (Right to Buy)^F1,F2	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	2,334	2,334	I
Director Stock Option (Right to Buy)^F1,F2	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	8,116	8,116	I
Director Stock Option (Right to Buy)^F1,F2	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	3,506	3,506	I
Director Stock Option (Right to Buy)^F1,F2	$55.29	holding	—	—	—	Feb 28, 2016	Feb 28, 2025	Common Stock	2,913	2,913	I
Restricted Stock Award^F3,F4	—	holding	—	—	—	—	Oct 29, 2015	Common Stock	283	283	D
Restricted Stock Award^F3,F5	—	holding	—	—	—	—	Jul 30, 2016	Common Stock	327	164	D

F1Represents shares held by a trust in which Mr. Roame is the trustee.
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.
F3Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
F4The reporting person was granted 567 restricted stock units on October 29, 2013, of which 1/2 of the shares subject to the restricted stock units of the grant vested on October 29, 2014. The common stock into which such vested restricted stock units converted on October 29, 2014 is reported in Table I on a Form 4 filied on October 31, 2014. The remaining unvested restricted stock units will continue to vest as to 1/2 of the original number of shares subject to the restricted stock awards on October 29, 2015.
F5The reporting person was granted 327 restricted stock units on July 30, 2014, of which 1/2 of the shares subject to the restricted stock units of the grant vested on July 30, 2015. The common stock into which such vested restricted stock units converted on July 30, 2015 is reported in Table I on this Form 4. The remaining unvested restricted stock units will continue to vest as to 1/2 of the original number of shares subject to the restricted stock awards on July 30, 2016.