X0306 4 2016-11-11 0 0001337619 ENVESTNET, INC. ENV 0001497462 Bergman Judson 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 1 0 0 Chief Executive Officer Common Stock 2016-11-11 4 M 0 7031 7.50 A 656137 D Common Stock 2016-11-11 4 S 0 7031 35 D 649106 D Common Stock 2016-11-14 4 M 0 20000 7.50 A 669106 D Common Stock 2016-11-14 4 S 0 20000 35.68 D 649106 D Employee Stock Option (Right to Buy) 7.50 2016-11-11 4 M 0 27031 0 D 2007-04-26 2017-04-26 Common Stock 27031 10000 D Employee Stock Option (Right to Buy) 7.50 2009-04-30 2018-04-30 Common Stock 36000 36000 D Employee Stock Option (Right to Buy) 7.15 2010-05-15 2019-05-15 Common Stock 15000 15000 D Employee Stock Option (Right to Buy) 9 2011-07-28 2020-07-28 Common Stock 376000 376000 D Employee Stock Option (Right to Buy) 12.55 2012-02-28 2021-02-28 Common Stock 10000 10000 D Employee Stock Option (Right to Buy) 12.45 2013-02-28 2022-02-28 Common Stock 7951 7951 D Employee Stock Option (Right to Buy) 15.34 2014-02-28 2023-02-28 Common Stock 9408 9408 D Employee Stock Option (Right to Buy) 41.84 2015-02-28 2024-02-28 Common Stock 20300 20300 D Employee Stock Option (Right to Buy) 53.88 2016-02-29 2025-02-28 Common Stock 17400 17400 D Employee Stock Option (Right to Buy) 20.51 2017-02-28 2026-02-28 Common Stock 8932 8932 D Employee Stock Option (Right to Buy) 31.03 2017-05-12 2026-05-12 Common Stock 25000 25000 D Restricted Stock Unit 2017-02-28 Common Stock 4200 4200 D Restricted Stock Unit 2018-02-28 Common Stock 7734 7734 D Restricted Stock Unit 2019-02-28 Common Stock 8932 8932 D Performance Stock Unit Award 2019-05-12 Common Stock 125000 125000 D 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 unit is the economic equivalent of one share of Envestnet, Inc. Common Stock Each restricted unit represents the contingent right to receive one share of common stock upon the vesting of the unit. The reporting person was granted 12,600 restricted stock units on February 28, 2014. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested. The reporting person was granted 11,600 restricted stock units on February 28, 2015. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested. 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. 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. The Reporting Person will earn a percentage of his performance stock unit award ("Banked Units") based on specific adjusted EBIDTA goals for the relevant performance period. This performance stock unit award vests over a 3 consecutive one-year performance periods, with 33.33% of Banked Units vesting following the First Performance Period, 50% of the outstanding Banked Units following the Second Performance Period and 100% of the outstanding Banked Units following the Final Performance Period, as described in the executive's employment agreement dated May 12, 2016 by and between the Company and the Reporting Person. A total of 200,000 options were granted on 04/26/2007. 37,031 options were vested and exercisable as of 11/11/2016. Option exercise and sale pursuant to a 10b5-1 plan established to allow the exercise and sale of options which will be forfeited if not exercised prior to the April 26, 2017 expiration date. The shares reported in column 4 were sold in one transaction with a price of $35.00 per share. The shares reported in column 4 were sold in multiple transactions with a weighted average price of $35.68 per share. /s/ Shelly O'Brien, by power of attorney for Judson Bergman 2016-11-15