0001104659-17-070189.txt : 20171122
0001104659-17-070189.hdr.sgml : 20171122
20171122160816
ACCESSION NUMBER: 0001104659-17-070189
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171120
FILED AS OF DATE: 20171122
DATE AS OF CHANGE: 20171122
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bergman Judson
CENTRAL INDEX KEY: 0001497462
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34835
FILM NUMBER: 171219974
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
2017-11-20
0
0001337619
ENVESTNET, INC.
ENV
0001497462
Bergman Judson
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO
IL
60601
1
1
0
0
Chief Executive Officer
Common Stock
2017-11-20
4
M
0
1000
7.15
A
733569
D
Common Stock
2017-11-20
4
M
0
9000
9.00
A
742569
D
Common Stock
2017-11-20
4
S
0
10000
49.55
D
732569
D
Common Stock
2017-11-21
4
M
0
10000
9.00
A
742569
D
Common Stock
2017-11-21
4
S
0
10000
49.91
D
732569
D
Employee Stock Option (Right to Buy)
7.15
2017-11-20
4
M
0
1000
0
D
2010-05-15
2019-05-15
Common Stock
1000
0
D
Employee Stock Option (Right to Buy)
9
2017-11-20
4
M
0
9000
0
D
2011-07-28
2020-07-28
Common Stock
9000
367000
D
Employee Stock Option (Right to Buy)
9
2017-11-21
4
M
0
10000
0
D
2011-07-28
2020-07-28
Common Stock
10000
357000
D
Reflects the cashless exercise of stock options which were granted pursuant to Rule 16b-3. The sale was pursuant to a Rule 10b5-1 plan that covers the cashless exercise and sale of stock options prior to their expiration date.
The Common Shares reported herein as being sold were sold at a range of between $49.90 and $50.00 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.
Original option grant vested in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Original option grant vested in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
/s/ Shelly O'Brien, by power of attorney for Judson Bergman
2017-11-22