|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Employee Stock Option (Right to Buy) | $ 7.5 | 12/24/2015 | S | 12,000 | 04/26/2007(1)(4) | 04/26/2017 | Common Stock | 12,000 | $ 0 | 0 | D | ||||
| Employee Stock Option (Right to Buy) | $ 7.5 | 12/28/2015 | S | 9,000 | 04/30/2008(10)(4) | 04/30/2018 | Common Stock | 9,000 | $ 0 | 0 | D | ||||
| Employee Stock Option (Right to Buy) | $ 7.15 | 12/28/2015 | S | 6,000 | 04/30/2009(12)(5) | 04/30/2019 | Common Stock | 6,000 | $ 0 | 0 | D | ||||
| Employee Stock Option (Right to Buy) | $ 9 | 12/29/2015 | S | 35,000 | 07/28/2011(14)(4) | 02/28/2020 | Common Stock | 62,000 | $ 0 | 27,000 | D | ||||
| Employee Stock Option (Right to Buy) | $ 12.55 | 02/28/2012(4) | 02/28/2021 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 12.45 | 02/28/2013(4) | 02/28/2022 | Common Stock | 7,647 | 7,647 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 15.34 | 02/28/2014(4) | 02/28/2023 | Common Stock | 8,000 | 8,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 41.84 | 02/28/2015(4) | 02/28/2024 | Common Stock | 6,200 | 6,200 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 53.88 | 02/29/2016(6) | 02/28/2025 | Common Stock | 4,800 | 4,800 | D | ||||||||
| Restricted Stock Award | (7) | 02/29/2016(9) | 02/28/2016 | Common Stock | 1,040 (8) | 1,040 | D | ||||||||
| Restricted Stock Award | (7) | 02/29/2016(9) | 02/28/2017 | Common Stock | 2,667 (8) | 2,667 | D | ||||||||
| Restricted Stock Award | (7) | 02/29/2016(9) | 02/28/2018 | Common Stock | 3,200 (8) | 3,200 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Thomas Brandon 35 EAST WACKER DRIVE SUITE 2400 CHICAGO, IL 60601 |
Chief Investment Officer | |||
| /s/ Shelly O'Brien, by power of attorney for Brandon Thomas | 12/29/2015 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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) | A total of 12,000 options were granted on 4/26/2007. 12,000 options were vested and exercisable as of December 24, 2015. |
| (2) | The prices reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.66 to $30.84, inclusive. |
| (3) | Represents shares held by a trust in which Mr. Thomas is the trustee. |
| (4) | Original option grant vests in four installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant as listed in the "Date Exercisable" column. |
| (5) | Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column. |
| (6) | Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column. |
| (7) | Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock |
| (8) | Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit. |
| (9) | This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock. |
| (10) | A total of 9,000 options were granted on 4/30/2008. 9,000 options were vested and exercisable as of December 28, 2015 |
| (11) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.42 to $30.57, inclusive. |
| (12) | A total of 6,000 options were granted on 5/15/2009. 6,000 options were vested and exercisable as of December 28, 2015 |
| (13) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.42 to $30.57, inclusive. |
| (14) | A total of 62,000 options were granted on 7/30/2010. 62,000 ptions were vested and exercisable as of December 29, 2015 |
| (15) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $30.17 to $30.37, inclusive. |