SEC Form 4 · accession 0001104659-16-101897
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ross K Chapin
Director
Period of report
Feb 29, 2016
Accepted (ET)
Mar 2, 2016 · 5:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001337619
Table I — non-derivative securities
No Table I lines on this filing.
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)F2,F1 | $20.51 | Feb 29, 2016 | A | 5,789 | A | Feb 28, 2017 | Feb 28, 2026 | Common Stock | 5,789 | 5,789 | D |
| Restricted Stock UnitF3,F4 | — | Feb 29, 2016 | A | 769 | A | — | Feb 28, 2019 | Common Stock | 769 | 769 | D |
| Director Stock Option (Right to Buy)F1 | $12.55 | holding | — | — | — | Feb 28, 2012 | Feb 28, 2021 | Common Stock | 2,658 | 2,658 | D |
| Director Stock Option (Right to Buy)F1 | $12.45 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Common Stock | 5,277 | 5,277 | D |
| Director Stock Option (Right to Buy)F1 | $15.34 | holding | — | — | — | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 7,954 | 7,954 | D |
| Director Stock Option (Right to Buy)F1 | $41.84 | holding | — | — | — | Feb 28, 2015 | Feb 28, 2024 | Common Stock | 3,585 | 3,585 | D |
| Director Stock Option (Right to Buy)F1 | $55.29 | holding | — | — | — | Feb 28, 2016 | Feb 28, 2025 | Common Stock | 2,913 | 2,913 | D |
Explanation of responses
- F1Original 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.
- F25,789 options were granted to the Reporting Person on February 29, 2016.
- F3Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
- F4This restricted stock unit vests over a 3 year period, one third of the total amount vest on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary.