SEC Form 4 · accession 0001104659-18-049503
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shelly O'Brien
Officer — Chief Legal Officer
Period of report
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 4:07 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 | Aug 1, 2018 | M | 1,882 | $15.34 | A | 41,248 | D | |
| Common Stock | Aug 1, 2018 | S | 1,882 | $58.60 | D | 39,366 | 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 | $15.34 | Aug 1, 2018 | M | 1,882 | D | Feb 28, 2014 | Feb 28, 2023 | Common Stock | 1,882 | 0 | 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.