SEC Form 4 · accession 0001104659-15-067489

ENVESTNET, INC. · ENV

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

Reporting owner

William Crager

Officer — President

Period of report

Sep 25, 2015

Accepted (ET)

Sep 25, 2015 · 7:42 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	Sep 25, 2015	M	28,013	$5.00	A	164,213	D
Common Stock^F2	Sep 25, 2015	S	28,013	$32.09	D	136,200	D
Common Stock	Sep 25, 2015	M	4,691	$5.00	A	140,891	D
Common Stock^F2	Sep 25, 2015	S	4,691	$31.85	D	136,200	D
Common Stock	holding	—	—		—	100	I	By wife

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	Sep 25, 2015	M	32,704	D	Feb 1, 2006	Nov 14, 2015	Common Stock	32,704	0	D
Employee Stock Option (Right to Buy)^F4	$0.1069	holding	—	—	—	Apr 26, 2007	Apr 26, 2017	Common Stock	2,806	2,806	D
Employee Stock Option (Right to Buy)^F4	$1.075	holding	—	—	—	Apr 26, 2007	Apr 26, 2017	Common Stock	20,000	20,000	D
Employee Stock Option (Right to Buy)^F4	$7.50	holding	—	—	—	Apr 26, 2007	Apr 26, 2017	Common Stock	80,000	80,000	D
Employee Stock Option (Right to Buy)^F6	$7.50	holding	—	—	—	Apr 30, 2009	Apr 30, 2018	Common Stock	14,000	14,000	D
Employee Stock Option (Right to Buy)^F6	$7.15	holding	—	—	—	May 15, 2010	May 15, 2019	Common Stock	12,000	12,000	D
Employee Stock Option (Right to Buy)^F6	$9.00	holding	—	—	—	Jul 28, 2011	Jul 28, 2020	Common Stock	164,000	164,000	D
Employee Stock Option (Right to Buy)^F5	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	25,000	25,000	D
Employee Stock Option (Right to Buy)^F4	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	13,954	13,954	D
Employee Stock Option (Right to Buy)^F4	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	13,500	13,500	D
Employee Stock Option (Right to Buy)^F4	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	14,100	14,100	D
Employee Stock Option (Right to Buy)^F4	$53.88	holding	—	—	—	Feb 29, 2016	Feb 28, 2025	Common Stock	11,400	11,400	D
Restricted Stock Award^F7,F8,F6	—	holding	—	—	—	Feb 29, 2016	Feb 29, 2016	Common Stock	1,880	1,880	D
Restricted Stock Award^F7,F8,F6	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2017	Common Stock	5,934	5,934	D
Restricted Stock Award^F7,F8,F6	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2018	Common Stock	7,600	7,600	D

Explanation of responses

F1A total of 80,000 options were granted on 11/14/2005. 47,296 options were previously exercised and the remaining 32,704 options were vested and exercisable as of September 25, 2015.
F2The prices reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $32.00 to $32.30, inclusive and from $31.80 to $31.89, inclusive.
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.