ENVESTNET, INC. 4

Accession 0001104659-17-033539

CIK 0001337619operating

Filed

May 16, 8:00 PM ET

Accepted

May 17, 7:12 PM ET

Size

20.8 KB

Accession

0001104659-17-033539

Form 4

Period: 2017-05-15

Director

Transactions

Holdings

Director Stock Option (Right to Buy)
(indirect: See Footnote)
Exercise: $12.45From: 2013-02-28Exp: 2022-02-28→ Common Stock (2,334 underlying)
2,334
Restricted Stock Units
Exp: 2020-03-28→ Common Stock (2,208 underlying)
2,208
Director Stock Option (Right to Buy)
(indirect: See Footnote)
Exercise: $15.34From: 2014-02-28Exp: 2023-02-28→ Common Stock (8,116 underlying)
8,116
Director Stock Option (Right to Buy)
(indirect: See Footnote)
Exercise: $31.70From: 2018-03-28Exp: 2027-03-28→ Common Stock (2,416 underlying)
2,416
Restricted Stock Units
Exp: 2018-02-28→ Common Stock (1,463 underlying)
1,463
Common Stock
(indirect: By LLC)
3,146
Director Stock Option (Right to Buy)
(indirect: See Footnote)
Exercise: $41.84From: 2015-02-28Exp: 2024-02-28→ Common Stock (3,506 underlying)
3,506
Director Stock Option (Right to Buy)
(indirect: See Footnote)
Exercise: $55.29From: 2016-02-28Exp: 2025-02-28→ Common Stock (2,913 underlying)
2,913
Director Stock Option (Right to Buy)
(indirect: See Footnote)
Exercise: $20.51From: 2017-02-28Exp: 2026-02-28→ Common Stock (5,655 underlying)
5,655
Restricted Stock Units
Exp: 2019-02-28→ Common Stock (428 underlying)
428

Footnotes (7)

[F1]Represents shares held by a trust in which Mr. Roame is the trustee.
[F2]Original option grant vests monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary of the grant.as listed in the "Date Exercisable" column.
[F3]Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
[F4]Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
[F5]This restricted stock award vests 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; and then one-twelfth of the total amount vests on each three-month anniversary.
[F6]This restricted stock award vests over a 3 year period, 40% of the total amount vests on the date of the grant of restricted stock; and then 30% of the total amount vests on February 28, 2017 and the remaining 30% vests on February 28, 2018.
[F7]Mr. Roame is Managing Partner of Tiburon Strategic Advisors, LLC ("Tiburon"). As Managing Partner of Tiburon, Mr. Roame may be deemed to have voting and investment power over the shares owned by Tiburon. Mr. Roame disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Documents

1 file

ENVESTNET, INC.

CIK 0001337619

Entity typeoperating

IncorporatedDE