0001628280-20-000387.txt : 20200117 0001628280-20-000387.hdr.sgml : 20200117 20200117161100 ACCESSION NUMBER: 0001628280-20-000387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200115 FILED AS OF DATE: 20200117 DATE AS OF CHANGE: 20200117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D'Arrigo Peter CENTRAL INDEX KEY: 0001497436 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 20533679 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 wf-form4_157929544265648.xml FORM 4 X0306 4 2020-01-15 0 0001337619 ENVESTNET, INC. ENV 0001497436 D'Arrigo Peter 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 0 1 0 0 Chief Financial Officer Common Stock 2020-01-15 4 M 0 5000 9 A 56840 D Common Stock 2020-01-15 4 S 0 5000 74.25 D 51840 D Employee Stock Option (Right to Buy) 9.0 2020-01-15 4 M 0 5000 0 D 2011-07-28 2020-07-28 Common Stock 5000.0 3000 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. This option grant vests over a 4 year period; one-fourth of the total amount vests on each anniversary of the date of grant. Total does not include options from other tranches with different exercise prices, vesting dates, and expiration dates. /s/ Shelly O'Brien, by Power-of-Attorney for Peter D'Arrigo 2020-01-17