SEC Form 4 · accession 0001104659-15-087144
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
Dec 24, 2015
Accepted (ET)
Dec 29, 2015 · 9:52 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 24, 2015 | M | 12,000 | $7.50 | A | 242,421 | D | |
| Common StockF2 | Dec 24, 2015 | S | 12,000 | $30.77 | D | 230,421 | D | |
| Common Stock | Dec 28, 2015 | M | 9,000 | $7.50 | A | 239,421 | D | |
| Common StockF11 | Dec 28, 2015 | S | 9,000 | $30.51 | D | 230,421 | D | |
| Common Stock | Dec 28, 2015 | M | 6,000 | $7.15 | A | 236,421 | D | |
| Common StockF13 | Dec 28, 2015 | S | 6,000 | $30.51 | D | 230,421 | D | |
| Common Stock | Dec 29, 2015 | M | 35,000 | $9.00 | A | 265,421 | D | |
| Common StockF15 | Dec 29, 2015 | S | 35,000 | $30.25 | D | 230,421 | D | |
| Common StockF3 | 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,F4 | $7.50 | Dec 24, 2015 | S | 12,000 | D | Apr 26, 2007 | Apr 26, 2017 | Common Stock | 12,000 | 0 | D |
| Employee Stock Option (Right to Buy)F10,F4 | $7.50 | Dec 28, 2015 | S | 9,000 | D | Apr 30, 2008 | Apr 30, 2018 | Common Stock | 9,000 | 0 | D |
| Employee Stock Option (Right to Buy)F12,F5 | $7.15 | Dec 28, 2015 | S | 6,000 | D | Apr 30, 2009 | Apr 30, 2019 | Common Stock | 6,000 | 0 | D |
| Employee Stock Option (Right to Buy)F14,F4 | $9.00 | Dec 29, 2015 | S | 35,000 | D | Jul 28, 2011 | Feb 28, 2020 | Common Stock | 62,000 | 27,000 | D |
| Employee Stock Option (Right to Buy)F4 | $12.55 | holding | — | — | — | Feb 28, 2012 | Feb 28, 2021 | Common Stock | 10,000 | 10,000 | D |
| Employee Stock Option (Right to Buy)F4 | $12.45 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Common Stock | 7,647 | 7,647 | D |
| Employee Stock Option (Right to Buy)F4 | $15.34 | holding | — | — | — | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 8,000 | 8,000 | D |
| Employee Stock Option (Right to Buy)F4 | $41.84 | holding | — | — | — | Feb 28, 2015 | Feb 28, 2024 | Common Stock | 6,200 | 6,200 | D |
| Employee Stock Option (Right to Buy)F6 | $53.88 | holding | — | — | — | Feb 29, 2016 | Feb 28, 2025 | Common Stock | 4,800 | 4,800 | D |
| Restricted Stock AwardF7,F9,F8 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2016 | Common Stock | 1,040 | 1,040 | D |
| Restricted Stock AwardF7,F9,F8 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2017 | Common Stock | 2,667 | 2,667 | D |
| Restricted Stock AwardF7,F9,F8 | — | holding | — | — | — | Feb 29, 2016 | Feb 28, 2018 | Common Stock | 3,200 | 3,200 | D |
Explanation of responses
- F1A total of 12,000 options were granted on 4/26/2007. 12,000 options were vested and exercisable as of December 24, 2015.
- F10A total of 9,000 options were granted on 4/30/2008. 9,000 options were vested and exercisable as of December 28, 2015
- F11The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.42 to $30.57, inclusive.
- F12A total of 6,000 options were granted on 5/15/2009. 6,000 options were vested and exercisable as of December 28, 2015
- F13The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.42 to $30.57, inclusive.
- F14A total of 62,000 options were granted on 7/30/2010. 62,000 ptions were vested and exercisable as of December 29, 2015
- F15The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.17 to $30.37, inclusive.
- F2The prices reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.66 to $30.84, inclusive.
- F3Represents shares held by a trust in which Mr. Thomas is the trustee.
- F4Original 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.
- F5Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F6Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F7Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
- F8Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
- F9This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.