SEC Form 4 · accession 0001104659-17-054972
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Johnson
Director
Period of report
Aug 29, 2017
Accepted (ET)
Aug 31, 2017 · 5:14 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 StockF5 | Aug 29, 2017 | M | 60 | — | A | 2,136 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F2,F3 | — | Aug 29, 2017 | M | 60 | D | — | Feb 28, 2019 | Common Stock | 60 | 366 | 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 | 6,495 | 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 | — | — | — | Mar 2, 2016 | Mar 2, 2025 | Common Stock | 3,219 | 3,219 | D |
| Director Stock Option (Right to Buy)F1 | $20.51 | holding | — | — | — | Feb 28, 2017 | Feb 28, 2026 | Common Stock | 6,310 | 6,310 | D |
| Director Stock Option (Right to Buy)F6 | $31.70 | holding | — | — | — | Mar 28, 2018 | Mar 28, 2027 | Common Stock | 2,566 | 2,566 | D |
| Restricted Stock UnitsF2,F3,F4 | — | holding | — | — | — | — | Mar 28, 2020 | Common Stock | 2,345 | 2,345 | D |
Explanation of responses
- F1This option grant vests over a 4 year period; one-fourth of the total amount vests on the first anniversary of the date of grant and 1/36 of the total amount vests on each one-month anniversary of the date of grant thereafter..
- F2Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
- F3These restricted stock units vest 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 units and then one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
- F4Each restricted stock award represents the contingent right to receive one share of common stock upon the vesting of the unit.
- F5Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective August 29, 2017. Restricted stock units convert into common stock on a one-for-one basis. The reporting person was granted 728 stock units on February 29, 2016 of which one-third of the total amount vested on February 28, 2017 (the first anniversary of the date of grant) 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.
- F6This option grant vests over a 3 year period; one-third of the total amount vests on the first anniversary of the date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.