0001104659-15-056657.txt : 20150805
0001104659-15-056657.hdr.sgml : 20150805
20150805193235
ACCESSION NUMBER: 0001104659-15-056657
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150803
FILED AS OF DATE: 20150805
DATE AS OF CHANGE: 20150805
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: Crager William
CENTRAL INDEX KEY: 0001497443
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34835
FILM NUMBER: 151030600
MAIL ADDRESS:
STREET 1: 489 FIFTH AVENUE
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
4
1
a4.xml
4
X0306
4
2015-08-03
0
0001337619
ENVESTNET, INC.
ENV
0001497443
Crager William
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO
IL
60601
0
1
0
0
President
Common Stock
2015-08-03
4
M
0
1700
5.00
A
137900
D
Common Stock
2015-08-03
4
S
0
1700
45.04
D
136200
D
Common Stock
2015-08-05
4
M
0
4300
5.00
A
140500
D
Common Stock
2015-08-05
4
S
0
4300
45.16
D
136200
D
Common Stock
100
I
By wife
Employee Stock Option (Right to Buy)
5.00
2015-08-03
4
M
0
1700
0
D
2006-02-01
2015-11-14
Common Stock
1700
39970
D
Employee Stock Option (Right to Buy)
5.00
2015-08-05
4
M
0
4300
0
D
2006-02-01
2015-11-14
Common Stock
4300
35670
D
Employee Stock Option (Right to Buy)
0.1069
2007-04-26
2017-04-26
Common Stock
2806
2806
D
Employee Stock Option (Right to Buy)
1.075
2007-04-26
2017-04-26
Common Stock
20000
20000
D
Employee Stock Option (Right to Buy)
7.50
2007-04-26
2017-04-26
Common Stock
80000
80000
D
Employee Stock Option (Right to Buy)
7.50
2009-04-30
2018-04-30
Common Stock
14000
14000
D
Employee Stock Option (Right to Buy)
7.15
2010-05-15
2019-05-15
Common Stock
12000
12000
D
Employee Stock Option (Right to Buy)
9
2011-07-28
2020-07-28
Common Stock
164000
164000
D
Employee Stock Option (Right to Buy)
12.55
2012-02-28
2021-02-28
Common Stock
25000
25000
D
Employee Stock Option (Right to Buy)
12.45
2013-02-28
2022-02-28
Common Stock
13954
13954
D
Employee Stock Option (Right to Buy)
15.34
2014-02-28
2023-02-28
Common Stock
13500
13500
D
Employee Stock Option (Right to Buy)
41.84
2015-02-28
2024-02-28
Common Stock
14100
14100
D
Employee Stock Option (Right to Buy)
53.88
2016-02-29
2025-02-28
Common Stock
11400
11400
D
Restricted Stock Award
2016-02-29
2016-02-29
Common Stock
1880
1880
D
Restricted Stock Award
2016-02-29
2017-02-28
Common Stock
5934
5934
D
Restricted Stock Award
2016-02-29
2018-02-28
Common Stock
7600
7600
D
A total of 80,000 options were granted on 11/14/2005. 41,670 options were vested and exercisable as of 8/3/2015 and 39,970 were vested and exercisable as of 8/5/2015.
Option exercise and sale pursuant to a 10b5-1 plan.
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.00 to $45.18, inclusive.
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.00 to $45.47 inclusive.
Original option grant vests in four installments beginning on February 1, 2006 and the remaining three installments on May 31 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 award represents the contingent right to receive one share of common stock upon the vesting of the unit.
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, by power of attorney for William Crager
2015-08-05