SEC Form 4 · accession 0001104659-17-020464

ENVESTNET, INC. · ENV

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

Reporting owner

Director

Period of report

Mar 28, 2017

Accepted (ET)

Mar 30, 2017 · 8:30 pm EDT

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	holding	—	—		—	801	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Director Stock Option (Right to Buy)^F1	$31.70	Mar 28, 2017	A	1,745	A	Mar 28, 2018	Mar 28, 2027	Common Stock	1,745	1,745	D
Restricted Stock Units^F2,F4,F5	—	Mar 28, 2017	A	1,595	A	—	Mar 28, 2020	Common Stock	1,595	1,595	D
Restricted Stock Units^F2,F3,F5	—	holding	—	—	—	—	Apr 26, 2019	Common Stock	2,403	2,403	D

F1This option grant vests over a 3-year period, one third of the total amount vests on the first applicable date of grant and one-twelfth of the total amount vests each three-month anniversary of the date of grant thereafter.
F2Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
F3This restricted stock unit vests over a 3 year period, 25% of the total amount vests on the date of the grant of restricted stock; and then 25% on each of first three anniversaries of the Grant Date (April 26, 2016).
F4These restricted stock units vest 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.
F5Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.