0001628280-20-014750.txt : 20201023
0001628280-20-014750.hdr.sgml : 20201023
20201023200856
ACCESSION NUMBER: 0001628280-20-014750
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201021
FILED AS OF DATE: 20201023
DATE AS OF CHANGE: 20201023
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Thomas Brandon
CENTRAL INDEX KEY: 0001497437
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34835
FILM NUMBER: 201258799
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_160349811921440.xml
FORM 4
X0306
4
2020-10-21
0
0001337619
ENVESTNET, INC.
ENV
0001497437
Thomas Brandon
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO
IL
60601
0
1
0
0
Chief Investment Officer
Common Stock
2020-10-21
4
M
0
10000
12.55
A
278701
D
Common Stock
2020-10-21
4
S
0
7200
81.37
D
271501
D
Common Stock
2020-10-21
4
S
0
1700
82.11
D
269801
D
Common Stock
2020-10-21
4
S
0
1100
82.92
D
268701
D
Common Stock
2020-10-21
4
M
0
7647
12.45
A
276348
D
Common Stock
2020-10-21
4
S
0
5246
81.35
D
271102
D
Common Stock
2020-10-21
4
S
0
1701
82.04
D
269401
D
Common Stock
2020-10-21
4
S
0
700
82.90
D
268701
D
Common Stock
2020-10-21
4
M
0
8000
15.34
A
276701
D
Common Stock
2020-10-21
4
S
0
5391
81.37
D
271310
D
Common Stock
2020-10-21
4
S
0
1609
81.99
D
269701
D
Common Stock
2020-10-21
4
S
0
1000
82.92
D
268701
D
Common Stock
2020-10-21
4
M
0
6200
41.84
A
274901
D
Common Stock
2020-10-21
4
S
0
4400
81.37
D
270501
D
Common Stock
2020-10-21
4
S
0
1200
82.20
D
269301
D
Common Stock
2020-10-21
4
S
0
600
82.92
D
268701
D
Common Stock
2020-10-21
4
M
0
4800
53.88
A
273501
D
Common Stock
2020-10-21
4
S
0
3274
81.38
D
270227
D
Common Stock
2020-10-21
4
S
0
1226
82.12
D
269001
D
Common Stock
2020-10-21
4
S
0
300
82.93
D
268701
D
Common Stock
2020-10-21
4
M
0
2464
20.51
A
271165
D
Common Stock
2020-10-21
4
S
0
1864
81.42
D
269301
D
Common Stock
2020-10-21
4
S
0
600
82.41
D
268701
D
Common Stock
2020-10-21
4
M
0
1690
31.70
A
270391
D
Common Stock
2020-10-21
4
S
0
1490
81.47
D
268901
D
Common Stock
2020-10-21
4
S
0
200
82.73
D
268701
D
Common Stock
13938
I
See footnote
Employee Stock Option (Right to Buy)
12.55
2020-10-21
4
M
0
10000
0
D
2012-02-28
2021-02-28
Common Stock
10000.0
0
D
Employee Stock Option (Right to Buy)
12.45
2020-10-21
4
M
0
7647
0
D
2013-02-28
2022-02-28
Common Stock
7647.0
0
D
Employee Stock Option (Right to Buy)
15.34
2020-10-21
4
M
0
8000
0
D
2014-02-28
2023-02-28
Common Stock
8000.0
0
D
Employee Stock Option (Right to Buy)
41.84
2020-10-21
4
M
0
6200
0
D
2015-02-28
2024-02-28
Common Stock
6200.0
0
D
Employee Stock Option (Right to Buy)
53.88
2020-10-21
4
M
0
4800
0
D
2016-02-29
2025-02-28
Common Stock
4800.0
0
D
Employee Stock Option (Right to Buy)
20.51
2020-10-21
4
M
0
2464
0
D
2017-02-28
2026-02-28
Common Stock
2464.0
0
D
Employee Stock Option (Right to Buy)
31.7
2020-10-21
4
M
0
1690
0
D
2018-03-28
2027-03-28
Common Stock
1690.0
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.
The Common Shares reported herein as being sold were sold at a range of between $80.77 and $81.765 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 $81.79 and $82.77 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 $82.89 and $83.00 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. 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 $80.75 and $81.75 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 $81.78 and $82.71 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 $82.785 and $82.97 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 $81.75 and $82.74 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 $82.76 and $83.02 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 $80.865 and $81.79 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 $81.89 and $82.88 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 $82.90 and $82.97 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 $80.865 and $81.85 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 $81.89 and $82.56 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 $82.905 and $82.97 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 $80.965 and $81.915 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 $81.975 and $82.905 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 $80.94 and $81.92 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 $82.56 and $82.905 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.
Represents shares held by a trust in which Mr. Thomas is the trustee.
Original option grant vested in three installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Original option grant vested in three installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Original option grant vested in three installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Original option grant vested in three installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Original option grant vested in three installments beginning on the first date of grant and thereafter on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Represents restricted stock units that vest over a 3-year period; one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock units and then one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter. These restricted stock units convert into common stock on a one-for-one basis.
/s/ Shelly O'Brien, by Power-of-Attorney for Brandon Thomas
2020-10-23