Roame Charles 4

Accession 0001104659-17-052050

CIK 0001337619other

Filed

Aug 14, 8:00 PM ET

Accepted

Aug 15, 4:06 PM ET

Size

20.1 KB

Accession

0001104659-17-052050

Form 4

Period: 2017-08-11

Director

Transactions

Purchase
Common Stock
2017-08-11$43.06/sh+238$10,248→ 10,901 total(indirect: See Footnote)

Holdings

Common Stock
1,729
Common Stock
(indirect: By LLC)
3,165
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
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: $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: 2025-03-02→ 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
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: 2019-02-28→ Common Stock (375 underlying)
375
Restricted Stock Units
Exp: 2018-02-28→ Common Stock (1,463 underlying)
1,463
Restricted Stock Units
Exp: 2020-03-28→ Common Stock (2,208 underlying)
2,208

Footnotes (8)

[F1]Represents shares held by a trust in which Mr. Roame is the trustee.
[F2]This option grant vests over a 4 year period; one-fourth of the total amount vests on each anniversary of the date of grant.
[F3]Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock.
[F4]Each restricted stock unit represents the contingent right to receive one share of common stock upon the vesting of the unit.
[F5]These restricted stock unit 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 units and then one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
[F6]These restricted stock unit vests over a 2-year period; 40% of the total amount vests on the date of the grant and then 30% of the total amount vests on each anniversary of the date of the grant thereafter.
[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]This option grant vests over a 3year period; one-third of the total amount vests on the first anniversary of the date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.

Documents

1 file

ENVESTNET, INC.

CIK 0001337619

Entity typeother