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