SEC Form 4 · accession 0001104659-17-013629

ENVESTNET, INC. · ENV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Feb 28, 2017

Accepted (ET)

Mar 2, 2017 · 8:03 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	Feb 28, 2017	M	242	$0.00	A	2,016	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F5,F3,F4	—	Feb 28, 2017	M	242	D	—	Feb 28, 2019	Common Stock	242	486	D
Director Stock Option (Right to Buy)^F1	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	3,132	3,132	D
Director Stock Option (Right to Buy)^F1	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	6,495	6	D
Director Stock Option (Right to Buy)^F1	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	9,069	9,069	D
Director Stock Option (Right to Buy)^F1	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	3,983	3,983	D
Director Stock Option (Right to Buy)^F1	$55.29	holding	—	—	—	Feb 28, 2016	Feb 28, 2025	Common Stock	3,219	3,219	D
Director Stock Option (Right to Buy)^F1	$20.51	holding	—	—	—	Feb 28, 2016	Feb 28, 2026	Common Stock	6,310	6	D

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.
F2Represents the conversion upon vesting of restricted stock awards into common stock. The reporting person was granted 728 restricted stock units on February 29, 2016 of which one-third of the total amount vests 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. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 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 vests 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.
F5Each restricted stock unit represents the contingent right to receive one share of common stock upon the vesting of the unit.