SEC Form 4 · accession 0001104659-17-071136
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter D'Arrigo
Officer — Chief Financial Officer
Period of report
Nov 28, 2017
Accepted (ET)
Nov 30, 2017 · 4:05 pm EST
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 | Nov 28, 2017 | M | 6,890 | $7.50 | A | 35,055 | D | |
| Common Stock | Nov 28, 2017 | S | 6,890 | $50.00 | D | 28,165 | D |
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)F2 | $7.50 | Nov 28, 2017 | M | 6,890 | D | Jun 16, 2009 | Jun 16, 2018 | Common Stock | 6,890 | 83,437 | D |
Explanation of responses
- F1Reflects the cashless exercise of stock options which were granted pursuant to Rule 16b-3. The sale was pursuant to a Rule 10b5-1 plan that covers the cashless exercise and sale of stock options prior to their expiration date.
- F2Original option grant vested in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.