4//SEC Filing
Roame Charles 4
Accession 0001104659-17-054969
CIK 0001337619other
Filed
Aug 30, 8:00 PM ET
Accepted
Aug 31, 5:13 PM ET
Size
21.6 KB
Accession
0001104659-17-054969
Insider Transaction Report
Form 4
Roame Charles
Director
Transactions
- Exercise/Conversion
Restricted Stock Units
2017-08-29−53→ 322 totalExp: 2019-02-28→ Common Stock (53 underlying) - Exercise/Conversion
Common Stock
2017-08-29+53→ 1,782 total
Holdings
- 10,901(indirect: See Footnote)
Common Stock
- 3,165(indirect: By LLC)
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) - 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) - 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) - 2,913(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $55.29From: 2016-03-02Exp: 2025-03-02→ Common Stock (2,913 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]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.
- [F9]Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective August 29, 2017. Restricted stock units convert into common stock on a one-for-one basis. 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.
Documents
Issuer
ENVESTNET, INC.
CIK 0001337619
Entity typeother
Related Parties
1- filerCIK 0001527569
Filing Metadata
- Form type
- 4
- Filed
- Aug 30, 8:00 PM ET
- Accepted
- Aug 31, 5:13 PM ET
- Size
- 21.6 KB