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