0001628280-19-003269.txt : 20190322 0001628280-19-003269.hdr.sgml : 20190322 20190322175249 ACCESSION NUMBER: 0001628280-19-003269 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190320 FILED AS OF DATE: 20190322 DATE AS OF CHANGE: 20190322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DePina Stuart CENTRAL INDEX KEY: 0001421867 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 19700887 MAIL ADDRESS: STREET 1: 11755 WILSHIRE BLVD., 20TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90025 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 wf-form4_155329155521420.xml FORM 4 X0306 4 2019-03-20 0 0001337619 ENVESTNET, INC. ENV 0001421867 DePina Stuart 35 E. WACKER DRIVE SUITE 2400 CHICAGO IL 60601 0 1 0 0 President* Common Stock 2019-03-20 4 S 0 5365 65.09 D 50968 D Common Stock 2019-03-21 4 M 0 9000 53.88 A 59968 D Common Stock 2019-03-21 4 S 0 9000 65.19 D 50968 D Common Stock 2019-03-21 4 M 0 1618 20.51 A 52586 D Common Stock 2019-03-21 4 S 0 1618 65.02 D 50968 D Common Stock 2019-03-21 4 M 0 2185 31.70 A 53153 D Common Stock 2019-03-21 4 S 0 2185 65.04 D 50968 D Employee Stock Option (Right to Buy) 53.88 2019-03-21 4 M 0 9000 0 D 2016-02-27 2025-02-27 Common Stock 9000.0 0 D Employee Stock Option (Right to Buy) 20.51 2019-03-21 4 M 0 1618 0 D 2017-02-28 2026-02-28 Common Stock 1618.0 0 D Employee Stock Option (Right to Buy) 31.7 2019-03-21 4 M 0 2185 0 D 2018-03-28 2027-03-28 Common Stock 2185.0 1565 D The Common Shares reported herein as being sold were sold at a range of between $65.08 and $65.20 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. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range. Reflects the cashless exercise of stock options which were granted pursuant to Rule 16b-3. The Common Shares reported herein as being sold were sold at a range of between $65.00 and $65.61 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. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range. The Common Shares reported herein as being sold were sold at a range of between $65.00 and $65.16 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. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range. The Common Shares reported herein as being sold were sold at a range of between $65.00 and $65.32 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. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range. This option grant vested over a 3 year period; one-third of the total amount vested on each anniversary of the date of grant. This option grant vested over a 3 year period; one-third of the total amount vested on the first anniversary of the date of grant and one-twelfth of the total amount vested on each three-month anniversary of the date of grant thereafter. 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. Chief Executive of Envestnet Data & Analytics /s/ Shelly O'Brien, by Power-of-Attorney for Stuart DePina 2019-03-22