0001104659-15-045504.txt : 20150615
0001104659-15-045504.hdr.sgml : 20150615
20150615215853
ACCESSION NUMBER: 0001104659-15-045504
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150611
FILED AS OF DATE: 20150615
DATE AS OF CHANGE: 20150615
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: Thomas Brandon
CENTRAL INDEX KEY: 0001497437
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34835
FILM NUMBER: 15932968
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
2015-06-11
0
0001337619
ENVESTNET, INC.
ENV
0001497437
Thomas Brandon
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO
IL
60601
0
1
0
0
Chief Investment Officer
Common Stock
2015-06-11
4
M
0
2200
7.50
A
227254
D
Common Stock
2015-06-11
4
S
0
2200
43.91
D
225054
D
Common Stock
2015-06-12
4
M
0
15000
7.50
A
240054
D
Common Stock
2015-06-12
4
S
0
15000
43.17
D
225054
D
Common Stock
2015-06-15
4
M
0
7260
7.50
A
232314
D
Common Stock
2015-06-15
4
S
0
7260
42.82
D
225054
D
Common Stock
2015-06-15
4
M
0
8040
7.50
A
233094
D
Common Stock
2015-06-15
4
S
0
8040
43.08
D
225054
D
Common Stock
13938
I
See footnote
Employee Stock Option (Right to Buy)
5.00
2006-11-14
2015-11-14
Common Stock
32.500
32500
D
Employee Stock Option (Right to Buy)
7.50
2015-06-11
4
M
0
2200
0
D
2006-11-14
2015-11-14
Common Stock
30300
30300
D
Employee Stock Option (Right to Buy)
7.50
2015-06-12
4
M
0
15000
0
D
2006-11-14
2015-11-14
Common Stock
15300
15300
D
Employee Stock Option (Right to Buy)
7.50
2015-06-15
4
M
0
15300
0
D
2006-11-14
2015-11-14
Common Stock
0
0
D
Employee Stock Option (Right to Buy)
7.50
2007-04-26
2017-04-26
Common Stock
12000
12000
D
Employee Stock Option (Right to Buy)
7.50
2009-04-30
2018-04-30
Common Stock
9000
9000
D
Employee Stock Option (Right to Buy)
7.15
2010-05-15
2019-05-15
Common Stock
6000
6000
D
Employee Stock Option (Right to Buy)
9
2011-07-28
2020-02-28
Common Stock
62000
62000
D
Employee Stock Option (Right to Buy)
12.55
2012-02-28
2021-02-28
Common Stock
10000
10000
D
Employee Stock Option (Right to Buy)
12.45
2013-02-28
2022-02-28
Common Stock
7647
7647
D
Employee Stock Option (Right to Buy)
15.34
2014-02-28
2023-02-28
Common Stock
8000
8000
D
Employee Stock Option (Right to Buy)
41.84
2015-02-28
2024-02-28
Common Stock
6200
6200
D
Employee Stock Option (Right to Buy)
53.88
2016-02-29
2025-02-28
Common Stock
4800
4800
D
Restricted Stock Award
2016-02-29
2016-02-28
Common Stock
1040
1040
D
Restricted Stock Award
2016-02-29
2017-02-28
Common Stock
2667
2667
D
Restricted Stock Award
2016-02-29
2018-02-28
Common Stock
3200
3200
D
A total of 80,000 options were granted on 11/14/2005. 32,500 options were vested and exercisable as of 6/11/2015, 30,300 were vested and exercisable as of 6/12/2015 and 15,300 were vested and exercisable as of 6/15/2015.
Open market option exercise and sale.
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $43.89 to $43.93, inclusive.
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $43.00 to $43.42, inclusive.
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.66 to $42.99, inclusive.
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $43.00 to $43.23, inclusive.
Represents shares held by a trust in which Mr. Thomas is the trustee.
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.
Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock.
/s/ Shelly O'Brien, by power of attorney for Brandon Thomas
2015-06-15