SEC Form 4 · accession 0001104659-17-055469

ENVESTNET, INC. · ENV

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

Reporting owner

Director

Period of report

Sep 1, 2017

Accepted (ET)

Sep 5, 2017 · 4:06 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^F6	Sep 1, 2017	S	746	$44.45	D	6,022	I	By trust
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	holding	—	—	—	Mar 28, 2018	Mar 28, 2027	Common Stock	1,745	1,745	D
Restricted Stock Units^F2,F3,F5	—	holding	—	—	—	—	Apr 26, 2019	Common Stock	1,602	1,602	D
Restricted Stock Units^F2,F4,F5	—	holding	—	—	—	—	Mar 28, 2020	Common Stock	1,595	1,595	D

F1This 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.
F2Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
F3These restricted stock units vest as follows: 25% of the total amount vested on the date of the grant of restricted stock units and then 25% on each of the first three anniversaries of the grant date.
F4These 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.
F5Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
F6The shares are held directly by a trust of which the reporting person is a trustee and beneficial owner.
F7Sale pursuant to 10b5-1 Plan.