0001104659-17-064964.txt : 20171031 0001104659-17-064964.hdr.sgml : 20171031 20171031160256 ACCESSION NUMBER: 0001104659-17-064964 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: Crager William CENTRAL INDEX KEY: 0001497443 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 171165730 MAIL ADDRESS: STREET 1: 489 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 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 0001497443 Crager William 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 0 1 0 0 President Common Stock 2017-10-27 4 S 0 5000 53.31 D 150555 D Common Stock 100 I By wife Employee Stock Option (Right to Buy) 7.50 2009-04-30 2018-04-30 Common Stock 14000 14000 D Employee Stock Option (Right to Buy) 7.15 2010-05-15 2019-05-15 Common Stock 12000 12000 D Employee Stock Option (Right to Buy) 9 2011-07-28 2020-07-28 Common Stock 164000 164000 D Employee Stock Option (Right to Buy) 12.55 2012-02-28 2021-02-28 Common Stock 25000 25000 D Employee Stock Option (Right to Buy) 12.45 2013-02-28 2022-02-28 Common Stock 13954 13954 D Employee Stock Option (Right to Buy) 15.34 2014-02-28 2023-02-28 Common Stock 13500 13500 D Employee Stock Option (Right to Buy) 41.84 2015-02-28 2024-02-28 Common Stock 14100 14100 D Employee Stock Option (Right to Buy) 53.88 2016-02-28 2025-02-27 Common Stock 11400 11400 D Employee Stock Option (Right to Buy) 20.51 2017-02-28 2026-02-28 Common Stock 5852 5852 D Employee Stock Option (Right to Buy) 31.70 2018-03-28 2027-03-28 Common Stock 5733 5733 D Restricted Stock Units 2018-02-28 Common Stock 2534 2534 D Restricted Stock Units 2019-02-28 Common Stock 2928 2928 D Performance Stock Unit Award 2019-05-12 Common Stock 33334 33334 D Restricted Stock Units 2020-03-28 Common Stock 17200 17200 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 4 year period; one-fourth 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. This option grant vests over a 3 year period; one-twelfth of the total amount vests on each three-month anniversary of the sate of grant. Each restricted stock unit or performance stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock Each restricted stock unit or performance 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. 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. Sale pursuant to 10b5-1 Plan. The Common Shares reported herein as being sold were sold at a range of between $52.85 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, by power of attorney for William Crager 2017-10-31