0001104659-17-042945.txt : 20170630
0001104659-17-042945.hdr.sgml : 20170630
20170630160608
ACCESSION NUMBER: 0001104659-17-042945
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170628
FILED AS OF DATE: 20170630
DATE AS OF CHANGE: 20170630
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: Grinis Scott D
CENTRAL INDEX KEY: 0001497442
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34835
FILM NUMBER: 17942261
MAIL ADDRESS:
STREET 1: 150 MATHILDA PLACE
STREET 2: SUITE 306
CITY: SUNNYVALE
STATE: CA
ZIP: 94086
4
1
a4.xml
4
X0306
4
2017-06-28
0
0001337619
ENVESTNET, INC.
ENV
0001497442
Grinis Scott D
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO
IL
60601
0
1
0
0
Chief Technology Officer
Common Stock
2017-06-28
4
M
0
9000
7.50
A
226454
D
Common Stock
2017-06-28
4
S
0
5590
38.97
D
220864
D
Common Stock
2017-06-28
4
S
0
3410
39.41
D
217454
D
Common Stock
2017-06-28
4
M
0
6000
7.15
A
223454
D
Common Stock
2017-06-28
4
S
0
6000
39.33
D
217454
D
Employee Stock Option (Right to Buy)
7.50
2017-06-28
4
M
0
9000
0
D
2008-04-30
2018-04-30
Common Stock
9000
0
D
Employee Stock Option (Right to Buy)
7.15
2017-06-28
4
M
0
6000
0
D
2009-05-15
2019-05-15
Common Stock
6000
0
D
Employee Stock Option (Right to Buy)
9
2011-07-28
2020-02-28
Common Stock
56000
56000
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
10195
10195
D
Employee Stock Option (Right to Buy)
15.34
2014-02-28
2023-02-28
Common Stock
8000
8000
D
Employee Stock Option (Right to Buy)
41.84
2015-02-28
2024-02-28
Common Stock
6200
6200
D
Employee Stock Option (Right to Buy)
53.88
2016-02-28
2025-02-28
Common Stock
6000
6000
D
Employee Stock Option (Right to Buy)
20.51
2017-02-28
2026-02-28
Common Stock
3234
3234
D
Employee Stock Option (Right to Buy)
31.70
2018-03-28
2027-03-28
Common Stock
2233
2233
D
Restricted Stock Units
2018-02-28
Common Stock
1334
1334
D
Restricted Stock Units
2019-02-28
Common Stock
1887
1887
D
Restricted Stock Units
2019-08-02
Common Stock
26252
26252
D
Restricted Stock Units
2020-03-28
Common Stock
6700
6700
D
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 stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
The reporting person was granted 4,000 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.
These restricted stock units vest 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.
These restricted stock units vest over a 3-year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
Reflects cashless exercise of stock options which were granted pursuant to Rule 16b-3.
The Common Shares reported herein as being sold were sold at a range of between $38.35 and $39.30 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
The Common Shares reported herein as being sold were sold at a range of between $39.40 and $39.50 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
The Common Shares reported herein as being sold were sold at a range of between $39.25 and $39.40 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
/s/ Shelly O'Brien, by power of attorney for Scott Grinis
2017-06-30