Accession Number: | 0001104659-15-049384 |
Date: | 2015-06-29 |
Issuer: | ENVESTNET, INC. (ENV) |
Original Submission Date: |
D'ARRIGO PETER
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO, IL 60601
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2015-06-29 | M | 10,000 | a | $7.50 | 14,393 | direct | ||
COMMON STOCK | 2015-06-29 | S | 10,000 | d | $41.62 | 4,393 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 7.5 | 2015-06-29 | deemed execution date | M | 10,000 (d) | 2008-06-06 | 2018-06-16 | common stock 186,937 | $7.50 | 186,937 | direct | |
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 9.0 | 2015-06-29 | deemed execution date | 0 ( ) | 2011-07-28 | 2020-02-28 | common stock 86,000 | $9.00 | 86,000 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 12.55 | 2015-06-29 | deemed execution date | 0 ( ) | 2012-02-28 | 2021-02-28 | common stock 10,000 | $12.55 | 10,000 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 12.45 | 2015-06-29 | deemed execution date | 0 ( ) | 2013-02-28 | 2022-02-28 | common stock 10,195 | $12.45 | 10,195 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 15.34 | 2015-06-29 | deemed execution date | 0 ( ) | 2014-02-28 | 2023-02-28 | common stock 8,000 | $15.34 | 8,000 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 41.84 | 2015-06-29 | deemed execution date | 0 ( ) | 2015-02-28 | 2024-02-28 | common stock 10,600 | $41.84 | 10,600 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 53.88 | 2015-06-29 | deemed execution date | 0 ( ) | 2016-02-28 | 2025-02-28 | common stock 8,250 | $53.88 | 8,250 | direct | ||
RESTRICTED STOCK AWARD | 0.0 | 2015-06-29 | deemed execution date | 0 ( ) | 2016-02-29 | 2016-02-28 | common stock 1,040 | $0.00 | 1,040 | direct | ||
RESTRICTED STOCK AWARD | 0.0 | 2015-06-29 | deemed execution date | 0 ( ) | 2016-02-29 | 2017-02-28 | common stock 4,400 | $0.00 | 4,400 | direct | ||
RESTRICTED STOCK AWARD | 0.0 | 2015-06-29 | deemed execution date | 0 ( ) | 2016-02-29 | 2018-02-28 | common stock 5,500 | $0.00 | 5,500 | direct |
ID | footnote |
---|---|
f1 | a total of 220,000 options were granted on 6/16/2008. 196,937 options were vested and exercisable as of 6/29/2015. |
f2 | open market exercise and sale. |
f3 | the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $41.50 to $41.84, inclusive. |
f4 | 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. |
f5 | original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "date exercisable" column. |
f6 | original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "date exercisable" column. |
f7 | each restricted stock award is the economic equivalent of one share of envestnet, inc. common stock |
f8 | each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit. |
f9 | this restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock. |