SEC Form 4 · accession 0001104659-17-059954

ENVESTNET, INC. · ENV

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

Reporting owner

Officer — Chief Legal Officer

Period of report

Sep 27, 2017

Accepted (ET)

Sep 29, 2017 · 4:05 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	Sep 27, 2017	M	2,000	$7.15	A	15,292	D
Common Stock^F9	Sep 27, 2017	S	2,000	$49.96	D	13,292	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F1	$7.15	Sep 27, 2017	M	2,000	D	May 15, 2010	May 15, 2019	Common Stock	2,000	0	D
Employee Stock Option (Right to Buy)^F1	$9.00	holding	—	—	—	Jul 28, 2011	Jul 28, 2020	Common Stock	18,366	18,366	D
Employee Stock Option (Right to Buy)^F1	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	3,333	3,333	D
Employee Stock Option (Right to Buy)^F1	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	3,399	3,399	D
Employee Stock Option (Right to Buy)^F1	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	7,150	7,150	D
Employee Stock Option (Right to Buy)^F1	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	5,500	5,500	D
Employee Stock Option (Right to Buy)^F1	$53.88	holding	—	—	—	Feb 29, 2016	Feb 27, 2025	Common Stock	4,800	4,800	D
Employee Stock Option (Right to Buy)^F2	$20.51	holding	—	—	—	Feb 28, 2017	Feb 28, 2026	Common Stock	2,464	2,464	D
Employee Stock Option (Right to Buy)^F2	$31.70	holding	—	—	—	Mar 28, 2018	Mar 28, 2027	Common Stock	1,667	1,667	D
Restricted Stock Units^F3,F5,F4	—	holding	—	—	—	—	Feb 28, 2018	Common Stock	1,067	1,067	D
Restricted Stock Units^F3,F6,F4	—	holding	—	—	—	—	Feb 28, 2019	Common Stock	1,233	1,233	D
Restricted Stock Units^F3,F7,F4	—	holding	—	—	—	—	Aug 2, 2019	Common Stock	16,668	16,668	D
Restricted Stock Units^F3,F6,F4	—	holding	—	—	—	—	Mar 28, 2020	Common Stock	5,000	5,000	D

F1This option grant vests over a 3 year period; one-third of the total amount vests on each anniversary of the date of grant.
F2This 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.
F3Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
F4Each restricted stock unit represents the contingent right to receive one share of common stock upon the vesting of the unit.
F5These restricted stock units vest over a 3-year period; one-third of the total amount vests on each anniversary of the date of grant.
F6These 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.
F7These restricted stock units vest over a 3-year period; one-twelfth of the total amount vests on each three-month anniversary of the date of grant.
F8Reflects cashless exercise of stock options which were granted pursuant to Rule 16b-3.
F9The Common Shares reported herein as being sold were sold at a range of between $49.955 and $50.10 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.