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