SEC Form 4 · accession 0001104659-15-079385
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Roame
Director
Period of report
Nov 12, 2015
Accepted (ET)
Nov 16, 2015 · 5:53 pm EST
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 | Nov 12, 2015 | P | 225 | $33.35 | A | 225 | D | |
| Common StockF1 | Nov 12, 2015 | G | 225 | $0.00 | D | 5,392 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 AwardF3,F4 | — | holding | — | — | — | — | Jul 30, 2016 | Common Stock | 164 | 164 | D |
Explanation of responses
- 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 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 was reported in Table I on a Form 4 filed on July 31, 2015. 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.