SEC Form 4 · accession 0001104659-15-068467

ENVESTNET, INC. · ENV

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

Reporting owner

Brandon Thomas

Officer — Chief Investment Officer

Period of report

Sep 29, 2015

Accepted (ET)

Sep 30, 2015 · 7:09 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^F2	Sep 29, 2015	M	12,142	$5.00	A	237,196	D
Common Stock^F2,F3	Sep 29, 2015	S	2,363	$29.90	D	234,833	D
Common Stock^F2,F3	Sep 29, 2015	S	4,412	$30.07	D	230,421	D
Common Stock^F4	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,F5	$5.00	Sep 29, 2015	M	12,142	D	Nov 14, 2006	Nov 14, 2015	Common Stock	12,142	0	D
Employee Stock Option (Right to Buy)^F5	$7.50	holding	—	—	—	Apr 26, 2007	Apr 26, 2017	Common Stock	12,000	12,000	D
Employee Stock Option (Right to Buy)^F5	$7.50	holding	—	—	—	Apr 30, 2009	Apr 30, 2018	Common Stock	9,000	9,000	D
Employee Stock Option (Right to Buy)^F6	$7.15	holding	—	—	—	—	Apr 30, 2018	Common Stock	6,000	6,000	D
Employee Stock Option (Right to Buy)	$9.00	holding	—	—	—	Jul 28, 2011	Feb 28, 2020	Common Stock	62,000	62,000	D
Employee Stock Option (Right to Buy)^F5	$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	7,647	7,647	D
Employee Stock Option (Right to Buy)^F5	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	8,000	8,000	D
Employee Stock Option (Right to Buy)^F5	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	6,200	6,200	D
Employee Stock Option (Right to Buy)^F7	$53.88	holding	—	—	—	Feb 29, 2016	Feb 28, 2025	Common Stock	4,800	4,800	D
Restricted Stock Award^F8,F10,F9	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2016	Common Stock	1,040	1,040	D
Restricted Stock Award^F8,F10,F9	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2017	Common Stock	2,667	2,667	D
Restricted Stock Award^F8,F10,F9	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2018	Common Stock	3,200	3,200	D

Explanation of responses

F1A total of 32,500 options were granted on 11/14/2005. 12,142 options were vested and exercisable as of 9/29/2015.
F10This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.
F2Open market exercise of an Envestnet, Inc. stock option by means of a cashless-sell-to-cover method (selling enough shares to cover option share purchase price, fee and taxes, then retaining the remaining shares).
F3The prices reported in column 4 are weighted average prices. 2,363 shares were sold in multiple transactions at prices ranging from $29.85 to $29.93, inclusive and 4,412 shares were sold in multiple transactions at prices ranging from $30.00 to $30.21 inclusive.
F4Represents shares held by a trust in which Mr. Thomas is the trustee.
F5Original 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.
F6Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F7Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F8Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
F9Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.