4//SEC Filing
ENVESTNET, INC. 4
Accession 0001104659-17-036655
CIK 0001337619operating
Filed
May 30, 8:00 PM ET
Accepted
May 31, 6:46 PM ET
Size
21.6 KB
Accession
0001104659-17-036655
Insider Transaction Report
Form 4
Roame Charles
Director
Transactions
- Exercise/Conversion
Restricted Stock Units
2017-05-29−53→ 375 totalExp: 2019-02-28→ Common Stock (53 underlying) - Exercise/Conversion
Common Stock
2017-05-29+53→ 1,676 total
Holdings
- 3,146(indirect: By LLC)
Common Stock
- 3,506(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $41.84From: 2015-02-28Exp: 2024-02-28→ Common Stock (3,506 underlying) - 9,209(indirect: See Footnote)
Common Stock
- 2,334(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $12.45From: 2013-02-28Exp: 2022-02-28→ Common Stock (2,334 underlying) - 2,913(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $55.29From: 2016-02-28Exp: 2025-02-28→ Common Stock (2,913 underlying) - 8,116(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $15.34From: 2014-02-28Exp: 2023-02-28→ Common Stock (8,116 underlying) - 5,655(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $20.51From: 2017-02-28Exp: 2026-02-28→ Common Stock (5,655 underlying) - 2,416(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $31.70From: 2018-03-28Exp: 2027-03-28→ Common Stock (2,416 underlying) - 1,463
Restricted Stock Units
Exp: 2018-02-28→ Common Stock (1,463 underlying) - 2,208
Restricted Stock Units
Exp: 2020-03-28→ Common Stock (2,208 underlying)
Footnotes (9)
- [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.
- [F8]Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective May 29, 2017. The reporting person was granted 641 stock units on February 29, 2016 of which one-third of the total amount vested on February 28, 2017 (the first anniversary of the date of grant) and then one-twelfth of the total amount vests on each three-month anniversary. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 2016.
- [F9]This option grant vests over a 3-year period, one-third of the total amount vests on the first applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
Documents
Issuer
ENVESTNET, INC.
CIK 0001337619
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001337619
Filing Metadata
- Form type
- 4
- Filed
- May 30, 8:00 PM ET
- Accepted
- May 31, 6:46 PM ET
- Size
- 21.6 KB