0001104659-14-084477.txt : 20141202 0001104659-14-084477.hdr.sgml : 20141202 20141202180013 ACCESSION NUMBER: 0001104659-14-084477 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141201 FILED AS OF DATE: 20141202 DATE AS OF CHANGE: 20141202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENVESTNET, INC. CENTRAL INDEX KEY: 0001337619 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 201409613 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 35 E WACKER DR STE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 312-827-2800 MAIL ADDRESS: STREET 1: 35 E WACKER DR STE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 FORMER COMPANY: FORMER CONFORMED NAME: ENVESTNET ASSET MANAGEMENT GROUP INC DATE OF NAME CHANGE: 20050831 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bergman Judson CENTRAL INDEX KEY: 0001497462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 141261697 MAIL ADDRESS: STREET 1: 35 E. WACKER DRIVE STREET 2: SUITE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 4 1 a4.xml 4 X0306 4 2014-12-01 0 0001337619 ENVESTNET, INC. ENV 0001497462 Bergman Judson 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 1 0 0 Chief Executive Officer Common Stock 2014-12-01 4 M 0 45000 7.50 A 45000 D Common Stock 2014-12-01 4 S 0 45000 49.86 D 0 D Common Stock 590437 D Employee Stock Option (Right to Buy) (1) 7.50 2014-12-01 4 M 0 45000 0 D 2015-11-14 Common Stock 45000 45000 D A total of 170,000 options with an exercise price of $7.50 were granted on 11/14/2005, all of which are vested and exercisable. Option exercise and sale pursuant to a 10b5-1 Plan. /s/ Shelly O'Brien, by power of attorney for Judson Bergman 2014-12-02