SEC Form 4 · accession 0001104659-17-075212
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
Dec 22, 2017
Accepted (ET)
Dec 27, 2017 · 4:04 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 | Dec 22, 2017 | M | 800 | $7.15 | A | 51,207 | D | |
| Common Stock | Dec 22, 2017 | S | 800 | $52.20 | D | 50,407 | D | |
| Common Stock | Dec 22, 2017 | M | 20,000 | $9.00 | A | 70,407 | D | |
| Common StockF2 | Dec 22, 2017 | S | 20,000 | $52.07 | D | 50,407 | D | |
| Common Stock | Dec 22, 2017 | M | 10,000 | $12.55 | A | 60,407 | D | |
| Common StockF3 | Dec 22, 2017 | S | 10,000 | $52.04 | D | 50,407 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $7.15 | Dec 22, 2017 | M | 800 | D | May 15, 2010 | May 15, 2019 | Common Stock | 800 | 0 | D |
| Employee Stock Option (Right to Buy)F5 | $9.00 | Dec 22, 2017 | M | 20,000 | D | Jul 28, 2011 | Jul 28, 2020 | Common Stock | 20,000 | 0 | D |
| Employee Stock Option (Right to Buy)F4 | $12.55 | Dec 22, 2017 | M | 10,000 | D | Feb 28, 2012 | Feb 28, 2021 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Reflects the cashless exercise of stock options which were granted pursuant to Rule 16b-3.
- F2The Common Shares reported herein as being sold were sold at a range of between $52.000 and $52.175 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.
- F3The Common Shares reported herein as being sold were sold at a range of between $52.000 and $52.150 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.
- F4Original option grant vested in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
- F5Original option grant vested in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.