1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (right to buy)
|
(1)
|
02/22/2020 |
Common Stock
|
1,000
|
$
13.45
|
D
|
|
Stock Option (right to buy)
|
(2)
|
07/28/2020 |
Common Stock
|
3,000
|
$
9
|
D
|
|
Restricted Stock Award
|
(4)
|
02/28/2021 |
Common Stock
|
167
|
$
(3)
|
D
|
|
Restricted Stock Award
|
(5)
|
02/28/2022 |
Common Stock
|
567
|
$
(3)
|
D
|
|
Restricted Stock Award
|
(6)
|
02/28/2023 |
Common Stock
|
862
|
$
(3)
|
D
|
|
Restricted Stock Award
|
(7)
|
06/28/2013 |
Common Stock
|
711
|
$
(3)
|
D
|
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
1,000 options were granted to the Reporting Person on 2/22/2010. Of such 1,000 options, 333 vested on 2/22/2011, 333 vested on 2/22/2012 and 334 vested on 2/22/2013. |
(2) |
3,000 options were granted to the Reporting Person on 7/28/2010. Of such 3,000 options, 750 vested on 7/28/2011, 750 vested on 7/28/2012, 750 vested on 7/28/2013 and the remaining 750 will vest on 7/28/2014. |
(3) |
Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of this unit. |
(4) |
On February 28, 2011, the Reporting Person was granted 500 restricted stock units, of which 2/3 of the shares subject to the restricted stock award vested on February 29, 2012 and February 28, 2013. The common stock into which such vested restricted stock units converted on February 29, 2012 and February 28, 2013 respectively. The aggregate number of shares minus withholding by Envestnet, Inc. of shares of common stock to satisfy the Reporting Person's tax withholding obligations in connection with the delivery of the Converted Common Stock is included in Table I on this Form 3. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested. |
(5) |
On February 29, 2012, the Reporting Person was granted 850 restricted stock units, of which 1/3 of the shares subject to the restricted stock award vested on February 28, 2013. The common stock into which such vested restricted stock units converted on February 28, 2013. The aggregate number of shares minus withholding by Envestnet, Inc. of shares of common stock to satisfy the Reporting Person's tax withholding obligations in connection with the delivery of the Converted Common Stock is included in Table I on this Form 3. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested. |
(6) |
This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock. |
(7) |
This restricted stock award vests 100% on 6/28/2014, the anniversary of the date of the grant of restricted stock. |