0001104659-18-022418.txt : 20180404 0001104659-18-022418.hdr.sgml : 20180404 20180404160611 ACCESSION NUMBER: 0001104659-18-022418 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180402 FILED AS OF DATE: 20180404 DATE AS OF CHANGE: 20180404 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: 18737234 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 2018-04-02 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 2018-04-02 4 M 0 366 9.00 A 40589 D Common Stock 2018-04-02 4 S 0 366 57.10 D 40223 D Employee Stock Option (Right to Buy) 9 2018-04-02 4 M 0 366 0 D 2011-07-28 2020-07-28 Common Stock 366 0 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. Original option grant vested in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column. /s/ Shelly O'Brien 2018-04-04