Smith Gregory A

SEC source: 0001366763-26-000008 · wk-form4_1790798949.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,364

F1 · shares: Shares earned for the third quarter of 2026 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001366763-26-000005 · wk-form4_1783023005.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,976

F1 · shares: Shares earned for the second quarter of 2026 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001366763-26-000003 · wk-form4_1775075693.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,529

F1 · shares: Shares earned for the first quarter of 2026 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001366763-26-000001 · wk-form4_1767388443.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,091

F1 · shares: Shares earned for the fourth quarter of 2025 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001366763-25-000005 · wk-form4_1759263125.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,747

F1 · shares: Shares earned for the third quarter of 2025 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001015328-25-000157 · wk-form4_1751487095.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,381

F1 · shares: Shares earned for the second quarter of 2025 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001015328-25-000117 · wk-form4_1743624460.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,979

F1 · shares: Shares earned for the first quarter of 2025 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001015328-25-000024 · wk-form4_1735938608.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,618

F1 · shares: Shares earned for the fourth quarter of 2024 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001213900-24-102151 · ownership.xml · derivative · entry 2

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,038 shares

Expires not disclosed

F3 · derivative.exercise_price: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time.

F3 · kind: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time.

F3 · price: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time.

F3 · derivative.exercise_date: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time.

F3 · derivative.expiration_date: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time.

SEC source: 0001213900-24-102151 · ownership.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price").

F2 · shares: Includes restricted share units not subject to performance-based requirements ("RSUs"). Pursuant to the Merger Agreement, each RSU was, at the Effective Time, cancelled and converted into a right to receive (i) to the extent vested as of immediately prior to the Effective Time, a cash payment equal to (a) the Per Share Price multiplied by (b) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time, and (ii) to the extent unvested as of immediately prior to the Effective Time, an amount in cash equal to the (x) the Per Share Price, multiplied by (y) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time.

F1 · acquired: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price").

SEC source: 0001015328-24-000210 · wk-form4_1727903721.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,201

F1 · shares: Shares earned for the third quarter of 2024 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001015328-24-000176 · wk-form4_1719951321.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 744

F1 · shares: Shares earned for the second quarter of 2024 for services as a Director of the Company in accordance with the Director's Deferred Fee and Stock Plan approved by the Shareholders.

SEC source: 0001015328-24-000156 · wk-form4_1717618348.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600

SEC source: 0001628280-24-008591 · wk-form4_1709591281.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,166

F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001628280-23-006141 · wf-form4_167780195713562.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,929

F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001628280-22-004779 · wf-form4_164627224784933.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,471

F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001628280-21-004755 · wf-form4_161584241870876.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,898

F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001628280-20-002830 · wf-form4_158327901238146.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,106

F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001628280-19-002566 · wf-form4_155191935341948.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,594

F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-18-014469 · a4.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,931

F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-17-071444 · a4.xml · derivative · entry 2

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277

Underlying: Common Stock · 55 shares

Expires 2019-02-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.

F3 · price: Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.

F4 · derivative.exercise_date: These restricted stock units vest 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.

F5 · balance_after: Because the issuer has revised its method of reporting restricted stock units so that they appear in Table I rather then Table II, the 277 unvested restricted stock units of this tranche are included in the total number of shares of Common Stock reported in Table I.

SEC source: 0001104659-17-071444 · a4.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,124

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective November 29, 2017 (the "November Vested Restricted Stock Units"). Restricted stock units convert into common stock on a one-for-one basis. The reporting person was granted 663 restricted stock units on February 29, 2016 of which one-twelfth of the total amount vested on November 29, 2017. 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.

F1 · price: Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective November 29, 2017 (the "November Vested Restricted Stock Units"). Restricted stock units convert into common stock on a one-for-one basis. The reporting person was granted 663 restricted stock units on February 29, 2016 of which one-twelfth of the total amount vested on November 29, 2017. 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.

F2 · balance_after: Starting with the November 29, 2017 vesting of restricted stock units, the issuer's method of reporting restricted stock units has been revised to report such grants in Table I rather than as previously reported in Table II. Accordingly, amount includes unvested restricted stock units previously reported in Table II.

SEC source: 0001104659-17-054965 · a4.xml · derivative · entry 4

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332

Underlying: Common Stock · 55 shares

Expires 2019-02-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.

F5 · price: Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.

F3 · derivative.exercise_date: These restricted stock units vest 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.

SEC source: 0001104659-17-054965 · a4.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,744

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: 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 663 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.

F6 · price: 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 663 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.

SEC source: 0001104659-17-036656 · a4.xml · derivative · entry 4

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387

Underlying: Common Stock · 55 shares

Expires 2019-02-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.

F5 · price: Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.

F3 · derivative.exercise_date: These restricted stock units vest over a 3 year period, one third of the total amount vest on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary.

SEC source: 0001104659-17-036656 · a4.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,689

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective May 29, 2017. The reporting person was granted 663 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.

SEC source: 0001104659-17-020468 · a4.xml · derivative · entry 6

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,625

Underlying: Common Stock · 2,585 shares

Expires 2020-03-28

F3 · derivative.exercise_price: Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.

F4 · derivative.exercise_date: These restricted stock units vest over a 3 year period, one third of the total amount vest on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary.

F6 · derivative.underlying_shares: Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.

SEC source: 0001104659-17-020468 · a4.xml · derivative · entry 3

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,828

Underlying: Common Stock · 2,828 shares

Expires 2027-03-28

F2 · derivative.exercise_date: This option grants vests over a 3-year period, one-third of the total amount vests on the first applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.

SEC source: 0001104659-17-013633 · a4.xml · derivative · entry 5

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,463

Underlying: Common Stock · 1,463 shares

Expires 2018-02-28

F2 · derivative.exercise_price: Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.

F7 · price: Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.

F4 · derivative.exercise_date: These restricted stock units vest over a 3 year period, 40% of the total amount vests on the date of the grant of restricted stock; and then 30% of the total amount vests on February 28, 2017 and the remaining 30% vests on February 28, 2018.

SEC source: 0001104659-17-013633 · a4.xml · derivative · entry 4

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442

Underlying: Common Stock · 221 shares

Expires 2019-02-28

F2 · derivative.exercise_price: Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.

F7 · price: Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.

F3 · derivative.exercise_date: These restricted stock units vest over a 3 year period, one third of the total amount vest on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary.

SEC source: 0001104659-17-013633 · a4.xml · nonDerivative · entry 2

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,634

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: Represents the conversion upon vesting of restricted stock awards into common stock. The reporting person was granted 663 restricted stock units on February 29, 2016 of which one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock; 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.

SEC source: 0001104659-17-013633 · a4.xml · nonDerivative · entry 1

Smith Gregory A · CIK 0001366763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,413

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · kind: Represents the conversion upon vesting of restricted stock units into common stock. The reporting person was granted 4,876 restricted stock units on February 29, 2016, of which 40% (1,950 shares) subject to the restricted stock units of the grant, vested on February 29, 2016 and 30% (1,463 shares) vested on February 28, 2017. 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.