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