SEC Form 4 · accession 0001104659-17-001011

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

Jan 3, 2017

Accepted (ET)

Jan 5, 2017 · 7:57 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^F2	Jan 3, 2017	M	4,500	$7.50	A	10,240	D
Common Stock^F2,F3	Jan 3, 2017	S	4,500	$35.45	D	5,740	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	Jan 3, 2017	M	4,500	D	Apr 26, 2007	Apr 26, 2017	Common Stock	20,903	16,403	D
Employee Stock Option (Right to Buy)^F5	$7.50	holding	—	—	—	Apr 30, 2009	Apr 30, 2018	Common Stock	5,000	5,000	D
Employee Stock Option (Right to Buy)^F6	$7.15	holding	—	—	—	May 15, 2010	May 15, 2019	Common Stock	2,000	2,000	D
Employee Stock Option (Right to Buy)^F5	$9.00	holding	—	—	—	Jul 28, 2011	Jul 28, 2020	Common Stock	18,366	18,366	D
Employee Stock Option (Right to Buy)^F5	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	3,333	3,333	D
Employee Stock Option (Right to Buy)^F5	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	3,339	3,339	D
Employee Stock Option (Right to Buy)^F5	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	7,150	7,150	D
Employee Stock Option (Right to Buy)^F5	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	5,500	5,500	D
Employee Stock Option (Right to Buy)^F5	$53.88	holding	—	—	—	Feb 29, 2016	Feb 28, 2025	Common Stock	4,800	4,800	D
Employee Stock Option (Right to Buy)^F6	$20.51	holding	—	—	—	Feb 28, 2017	Feb 28, 2026	Common Stock	2,464	2,464	D
Restricted Stock Award^F7,F9,F8	—	holding	—	—	—	—	Feb 28, 2017	Common Stock	1,200	1,200	D
Restricted Stock Award^F7,F9,F8	—	holding	—	—	—	—	Feb 28, 2018	Common Stock	2,134	2,134	D
Restricted Stock Award^F7,F10,F8	—	holding	—	—	—	—	Feb 28, 2019	Common Stock	2,464	2,464	D
Restricted Stock Award^F7,F11,F8	—	holding	—	—	—	—	Aug 2, 2019	Common Stock	25,000	25,000	D

Explanation of responses

F1A total of 80,000 options were granted on 04/26/2007. 20,903 options were vested and exercisable as of 1/3/2017.
F10This restricted stock unit vests over a 3 year period, with 1/3 of the shares vesting on the first anniversary of the date of grant and one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
F11This restricted stock unit vests over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
F2Option exercise and sale pursuant to a 10b5-1 plan established to allow the exercise and sale of options which will be forfeited if not exercised prior to the April 26, 2017 expiration date.
F3The shares reported in column 4 were sold in one transaction with a price of $35.45 per share.
F4Original option grant vests in four installments beginning 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.
F6This option grant vests over a 3 year period, one-third of the total amount vests on the first anniversary of the applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
F7Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock
F8Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
F9This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.