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