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