SEC Form 4 · accession 0001104659-17-020478

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

Mar 28, 2017

Accepted (ET)

Mar 30, 2017 · 8:37 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	—	—		—	237,234	D
Common Stock^F1	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)^F4	$31.70	Mar 28, 2017	A	1,690	A	Mar 28, 2018	Mar 28, 2027	Common Stock	1,690	1,690	D
Restricted Stock Units^F5,F8,F6	—	Mar 28, 2017	A	5,069	A	—	Mar 28, 2020	Common Stock	5,069	5,069	D
Employee Stock Option (Right to Buy)^F2	$9.00	holding	—	—	—	Jul 28, 2011	Feb 28, 2020	Common Stock	62,000	27,000	D
Employee Stock Option (Right to Buy)^F3	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	10,000	10,000	D
Employee Stock Option (Right to Buy)^F3	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	7,647	7,647	D
Employee Stock Option (Right to Buy)^F3	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	8,000	8,000	D
Employee Stock Option (Right to Buy)^F3	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	6,200	6,200	D
Employee Stock Option (Right to Buy)^F3	$53.88	holding	—	—	—	Feb 29, 2016	Feb 28, 2025	Common Stock	4,800	4,800	D
Employee Stock Option (Right to Buy)^F4	$20.51	holding	—	—	—	Feb 28, 2017	Feb 28, 2026	Common Stock	2,464	2,464	D
Restricted Stock Units^F5,F7,F6	—	holding	—	—	—	—	Feb 28, 2018	Common Stock	1,067	1,067	D
Restricted Stock Units^F5,F8,F6	—	holding	—	—	—	—	Feb 28, 2019	Common Stock	1,643	1,643	D
Restricted Stock Units^F5,F9,F6	—	holding	—	—	—	—	Aug 2, 2019	Common Stock	16,668	16,668	D

Explanation of responses

F1Represents shares held by a trust in which Mr. Thomas is the trustee.
F2Original 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.
F3Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F4This 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.
F5Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
F6Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
F7The reporting person was granted 3,200 restricted stock units on February 28, 2015. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested.
F8These restricted stock units vest 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.
F9This 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.