SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
O'Brien Shelly

(Last) (First) (Middle)
35 EAST WACKER DRIVE
SUITE 2400

(Street)
CHICAGO IL 60601

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ENVESTNET, INC. [ ENV ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Legal Officer
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2015
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 05/01/2015 M 1,500(2) A $7.5 5,025 D
Common Stock 05/01/2015 S 1,500(2) D $51.68(3) 3,525 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: 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 05/01/2015 M 1,500 04/26/2007(1)(5) 04/26/2017 Common Stock 1,500 $0 65,903 D
Employee Stock Option (Right to Buy) $7.5 04/30/2009(5) 04/30/2018 Common Stock 5,000 5,000 D
Employee Stock Option (Right to Buy) $7.15 05/15/2010(5) 05/15/2019 Common Stock 2,000 2,000 D
Employee Stock Option (Right to Buy) $9 07/28/2011(4) 07/28/2020 Common Stock 18,366 18,366 D
Employee Stock Option (Right to Buy) $12.55 02/28/2012(4) 02/28/2021 Common Stock 3,333 3,333 D
Employee Stock Option (Right to Buy) $12.45 02/28/2013(4) 02/28/2022 Common Stock 3,339 3,339 D
Employee Stock Option (Right to Buy) $15.34 02/28/2014(4) 02/28/2023 Common Stock 7,150 7,150 D
Employee Stock Option (Right to Buy) $41.84 02/28/2015(4) 02/28/2024 Common Stock 5,500 5,500 D
Employee Stock Option (Right to Buy) $53.88 02/29/2016(4) 02/28/2025 Common Stock 4,800 4,800 D
Restricted Stock Award (6) 02/29/2016(7) 02/28/2016 Common Stock 933(8) 933 D
Restricted Stock Award (6) 02/29/2016(7) 02/28/2017 Common Stock 2,400(8) 2,400 D
Restricted Stock Award (6) 02/29/2016(7) 02/28/2018 Common Stock 3,200(8) 3,200 D
Explanation of Responses:
1. A total of 80,000 options were granted on 4/26/2007. 67,403 options were vested and exercisable as of 5/1/2015.
2. Option exercise and sale pursuant to a 10b5-1 plan.
3. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.6 to $51.94, inclusive.
4. Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
5. Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
6. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
7. Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
8. This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.
/s/ Shelly O'Brien 05/02/2015
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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