0001104659-16-137180.txt : 20160804 0001104659-16-137180.hdr.sgml : 20160804 20160804203840 ACCESSION NUMBER: 0001104659-16-137180 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160804 FILED AS OF DATE: 20160804 DATE AS OF CHANGE: 20160804 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: Arora Anil CENTRAL INDEX KEY: 0001336059 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 161808911 MAIL ADDRESS: STREET 1: C/O YODLEE, INC., 3600 BRIDGE PARKWAY STREET 2: 2ND FLOOR CITY: REDWOOD CITY STATE: CA ZIP: 94065 4 1 a4.xml 4 X0306 4 2016-08-04 0 0001337619 ENVESTNET, INC. ENV 0001336059 Arora Anil 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 0 0 0 Common Stock 2016-08-03 4 S 0 4900 40.00 D 87214 D Common Stock 136 I By Trust for child 1 Common Stock 136 I By Trust for child 1 Restricted Stock Unit Common Stock 83334 83334 D Employee Stock Option (Right to Buy) 32.46 2025-12-07 Common Stock 20000 20000 D These shares are held in trust for the benefit of a child of the reporting person for which the reporting person serves as trustee. The reporting person shares voting and investment control over the shares but disclaims beneficial ownership of the shares. Sale pursuant to 10b5-1 plan. The shares reported in column 4 were sold in one transaction at $40.00 per share. Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock. The reporting person was granted 100,000 restricted stock units on December 7, 2015 of which 1/3 of the total amount vests on the first anniversary of the applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary thereafter. Each share of restricted stock represents one share of Envestnet, Inc. Common Stock that remains subject to restrictions until the award becomes vested for all purposes. Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit. 20,000 options were granted to the Reporting Person on December 7, 2015. One-third of the total amount vests on the first anniversary of the applicable date of grant and one-twelfth on each three-month anniversary thereafter. /s/ Shelly O'Brien, by power of attorney for Anil Arora 2016-08-04