0001104659-17-064963.txt : 20171031 0001104659-17-064963.hdr.sgml : 20171031 20171031160227 ACCESSION NUMBER: 0001104659-17-064963 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171027 FILED AS OF DATE: 20171031 DATE AS OF CHANGE: 20171031 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: 171165725 MAIL ADDRESS: STREET 1: 35 E. WACKER DRIVE STREET 2: SUITE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 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 4 1 a4.xml 4 X0306 4 2017-10-27 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 2017-10-27 4 S 0 3000 53.48 D 10292 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 3399 3399 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 2025-02-27 Common Stock 4800 4800 D Employee Stock Option (Right to Buy) 20.51 2017-02-28 2026-02-28 Common Stock 2464 2464 D Employee Stock Option (Right to Buy) 31.70 2018-03-28 2027-03-28 Common Stock 1667 1667 D Restricted Stock Units 2018-02-28 Common Stock 1067 1067 D Restricted Stock Units 2019-02-28 Common Stock 1233 1233 D Restricted Stock Units 2019-08-02 Common Stock 16668 16668 D Restricted Stock Units 2020-03-28 Common Stock 5000 5000 D This option grant vests over a 3 year period; one-third of the total amount vests on each anniversary of the date of grant. This option grant vests over a 3 year period; one-third of the total amount vests on the first anniversary of the 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 the vesting of the unit. These restricted stock units vest over a 3-year period; one-third of the total amount vests on each anniversary of the date of grant. These restricted stock units vest over a 3-year period; one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock units and then one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter. These restricted stock units vest over a 3-year period; one-twelfth of the total amount vests on each three-month anniversary of the date of grant. Sale pursuant to 10b5-1 Plan. The Common Shares reported herein as being sold were sold at a range of between $53.45 and $53.60 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 2017-10-31