0001104659-16-143286.txt : 20160906 0001104659-16-143286.hdr.sgml : 20160906 20160906190103 ACCESSION NUMBER: 0001104659-16-143286 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160901 FILED AS OF DATE: 20160906 DATE AS OF CHANGE: 20160906 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: O'Brien Shelly CENTRAL INDEX KEY: 0001497434 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 161871845 MAIL ADDRESS: STREET 1: 35 E. WACKER DRIVE STREET 2: SUITE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 4 1 a4.xml 4 X0306 4 2016-09-01 0 0001337619 ENVESTNET, INC. ENV 0001497434 O'Brien Shelly 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 0 1 0 0 Chief Legal Officer Common Stock 2016-09-01 4 M 0 4500 7.50 A 10240 D Common Stock 2016-09-01 4 S 0 4500 39.66 D 5740 D Common Stock 2016-09-02 4 M 0 1000 7.50 A 6740 D Common Stock 2016-09-02 4 S 0 1000 40.01 D 5740 D Employee Stock Option (Right to Buy) 7.50 2016-09-01 4 M 0 5500 0 D 2007-04-26 2017-04-26 Common Stock 5500 34403 D Employee Stock Option (Right to Buy) 7.50 2009-04-30 2018-04-30 Common Stock 5000 5000 D Employee Stock Option (Right to Buy) 7.15 2010-05-15 2019-05-15 Common Stock 2000 2000 D Employee Stock Option (Right to Buy) 9 2011-07-28 2020-07-28 Common Stock 18366 18366 D Employee Stock Option (Right to Buy) 12.55 2012-02-28 2021-02-28 Common Stock 3333 3333 D Employee Stock Option (Right to Buy) 12.45 2013-02-28 2022-02-28 Common Stock 3339 3339 D Employee Stock Option (Right to Buy) 15.34 2014-02-28 2023-02-28 Common Stock 7150 7150 D Employee Stock Option (Right to Buy) 41.84 2015-02-28 2024-02-28 Common Stock 5500 5500 D Employee Stock Option (Right to Buy) 53.88 2016-02-29 2025-02-28 Common Stock 4800 4800 D Employee Stock Option (Right to Buy) 20.51 2017-02-28 2026-02-28 Common Stock 2464 2464 D Restricted Stock Award 2017-02-28 Common Stock 1200 1200 D Restricted Stock Award 2018-02-28 Common Stock 2134 2134 D Restricted Stock Award 2019-02-28 Common Stock 2464 2464 D Restricted Stock Award 2019-08-02 Common Stock 25000 25000 D A total of 80,000 options were granted on 04/26/2007. 39,903 options were vested and exercisable as of 09/01/2016. Option exercise and sale pursuant to a 10b5-1 plan. The shares reported in column 4 were sold in multiple transactions with a weighted average price of $39.66 per share. The shares reported in column 4 were sold in one transaction at $40.01 per share. Original option grant vests in four installments beginning on the first anniversary of the date of grant 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. This option grant vests over a 3 year period, one-third 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 of the date of grant thereafter. Each restricted stock unit 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. This restricted stock unit vests over a 3 year period, with 1/3 of the shares vesting on the first anniversary of the date of grant and one-twelfth of the total amount vesting on each three-month anniversary of the date of grant. This restricted stock unit vests over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant. /s/ Shelly O'Brien 2016-09-06