SEC Form 4 · accession 0001104659-15-084430
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shelly O'Brien
Officer — Chief Legal Officer
Period of report
Dec 9, 2015
Accepted (ET)
Dec 11, 2015 · 5:56 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 | Dec 9, 2015 | M | 5,000 | $7.50 | A | 8,525 | D | |
| Common StockF2 | Dec 9, 2015 | S | 5,000 | $30.59 | D | 3,525 | 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,F4 | $7.50 | Dec 9, 2015 | M | 5,000 | D | Apr 26, 2007 | Apr 26, 2017 | Common Stock | 5,000 | 57,903 | D |
| Employee Stock Option (Right to Buy)F4 | $7.50 | holding | — | — | — | Apr 30, 2009 | Apr 30, 2018 | Common Stock | 5,000 | 5,000 | D |
| Employee Stock Option (Right to Buy)F4 | $7.15 | holding | — | — | — | May 15, 2010 | May 15, 2019 | Common Stock | 2,000 | 2,000 | D |
| Employee Stock Option (Right to Buy)F3 | $9.00 | holding | — | — | — | Jul 28, 2011 | Jul 28, 2020 | Common Stock | 18,366 | 18,366 | D |
| Employee Stock Option (Right to Buy)F3 | $12.55 | holding | — | — | — | Feb 28, 2012 | Feb 28, 2021 | Common Stock | 3,333 | 3,333 | D |
| Employee Stock Option (Right to Buy)F3 | $12.45 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Common Stock | 3,339 | 3,339 | D |
| Employee Stock Option (Right to Buy)F3 | $15.34 | holding | — | — | — | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 7,150 | 7,150 | D |
| Employee Stock Option (Right to Buy)F3 | $41.84 | holding | — | — | — | Feb 28, 2015 | Feb 28, 2024 | Common Stock | 5,500 | 5,500 | D |
| Employee Stock Option (Right to Buy)F3 | $53.88 | holding | — | — | — | Feb 29, 2016 | Feb 28, 2025 | Common Stock | 4,800 | 4,800 | D |
| Restricted Stock AwardF5,F6,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2016 | Common Stock | 933 | 933 | D |
| Restricted Stock AwardF5,F6,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2017 | Common Stock | 2,400 | 2,400 | D |
| Restricted Stock AwardF5,F6,F7 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2018 | Common Stock | 3,200 | 3,200 | D |
Explanation of responses
- F1A total of 80,000 options were granted on 4/26/2007. 62,903 options were vested and exercisable as of 12/09/2015.
- F2The shares reported in column 4 were sold in one transaction at $30.59 per share.
- F3Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F4Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F5Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
- F6Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
- F7This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.