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