SEC Form 4 · accession 0001104659-17-029493

ENVESTNET, INC. · ENV

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

Reporting owner

Joshua Mayer

Officer — Chief Operating Officer

Period of report

May 2, 2017

Accepted (ET)

May 3, 2017 · 5:39 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	May 2, 2017	M	3,750	$0.00	A	13,648	D
Common Stock^F10	May 2, 2017	F	1,144	$0.00	D	12,504	D
Common Stock	holding	—	—		—	42	I	By Wife

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F5,F4,F8	—	May 2, 2017	M	3,750	D	—	Aug 2, 2019	Common Strock	3,750	33,750	D
Employee Stock Option (Right to Buy)^F1	$7.15	holding	—	—	—	May 15, 2010	May 15, 2019	Common Stock	800	800	D
Employee Stock Option (Right to Buy)^F2	$9.00	holding	—	—	—	Jul 28, 2011	Feb 28, 2020	Common Stock	20,000	20,000	D
Employee Stock Option (Right to Buy)^F1	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	10,000	10,000	D
Employee Stock Option (Right to Buy)^F1	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	4,418	4,418	D
Employee Stock Option (Right to Buy)^F1	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	8,000	8,000	D
Employee Stock Option (Right to Buy)^F1	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	6,200	6,200	D
Employee Stock Option (Right to Buy)^F1	$53.88	holding	—	—	—	Feb 28, 2016	Feb 28, 2025	Common Stock	6,000	6,000	D
Employee Stock Option (Right to Buy)^F3	$20.51	holding	—	—	—	Feb 28, 2017	Feb 28, 2026	Common Stock	3,234	3,234	D
Employee Stock Option (Right to Buy)^F3	$31.70	holding	—	—	—	Mar 28, 2018	Mar 28, 2027	Common Stock	2,233	2,233	D
Restricted Stock Units^F4,F6,F5	—	holding	—	—	—	—	Feb 28, 2017	Common Stock	1,334	1,334	D
Restricted Stock Units^F4,F7,F5	—	holding	—	—	—	—	Feb 28, 2019	Common Stock	2,156	2,156	D
Restricted Stock Units^F4,F7,F5	—	holding	—	—	—	—	Mar 28, 2020	Common Stock	6,700	6,700	D

Explanation of responses

F1Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F10The reporting person is reporting the withholding by Envestnet, Inc. of 1,144 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the vesting for tax purposes of the May Vested Restricted Shares to the reporting person on May 2, 2017.
F2Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F3This 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.
F4Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock
F5Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
F6The reporting person was granted 4,000 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.
F7These 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.
F8These restricted stock units vest over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
F9Represents the restricted shares of Envestnet, Inc. common stock that became vested for tax purposes effective May 2, 2017 (the "May Vested Restricted Shares"). The reporting person was granted 45,000 restricted stock units on August 2, 2016 of which one-twelfth of the total amount vested on May 2, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on August 4, 2016.