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Filing Details

Accession Number:: 0001104659-17-001011
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-01-05 19:57:57
Reporting Period:: 2017-01-03

Filing Date:: 2017-01-05
Accepted Time:: 2017-01-05 19:57:57
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1337619	Envestnet Inc.	ENV	Services-Business Services, Nec (7389)	201409613

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1497434	Shelly O'brien	35 East Wacker Drive Suite 2400 Chicago IL 60601	Chief Legal Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-01-03	4,500	$7.50	10,240	No	4	M	Direct
Common Stock	Disposition	2017-01-03	4,500	$35.45	5,740	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2017-01-03	4,500	$0.00	20,903	$7.50

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
16,403	2007-04-26	2017-04-26	No	4	M	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Employee Stock Option (Right to Buy)	$7.50	2009-04-30	2018-04-30	5,000	5,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$7.15	2010-05-15	2019-05-15	2,000	2,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$9.00	2011-07-28	2020-07-28	18,366	18,366	Direct
Common Stock	Employee Stock Option (Right to Buy)	$12.55	2012-02-28	2021-02-28	3,333	3,333	Direct
Common Stock	Employee Stock Option (Right to Buy)	$12.45	2013-02-28	2022-02-28	3,339	3,339	Direct
Common Stock	Employee Stock Option (Right to Buy)	$15.34	2014-02-28	2023-02-28	7,150	7,150	Direct
Common Stock	Employee Stock Option (Right to Buy)	$41.84	2015-02-28	2024-02-28	5,500	5,500	Direct
Common Stock	Employee Stock Option (Right to Buy)	$53.88	2016-02-29	2025-02-28	4,800	4,800	Direct
Common Stock	Employee Stock Option (Right to Buy)	$20.51	2017-02-28	2026-02-28	2,464	2,464	Direct
Common Stock	Restricted Stock Award	$0.00		2017-02-28	1,200	1,200	Direct
Common Stock	Restricted Stock Award	$0.00		2018-02-28	2,134	2,134	Direct
Common Stock	Restricted Stock Award	$0.00		2019-02-28	2,464	2,464	Direct
Common Stock	Restricted Stock Award	$0.00		2019-08-02	25,000	25,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2018-04-30	5,000	5,000	Direct
2019-05-15	2,000	2,000	Direct
2020-07-28	18,366	18,366	Direct
2021-02-28	3,333	3,333	Direct
2022-02-28	3,339	3,339	Direct
2023-02-28	7,150	7,150	Direct
2024-02-28	5,500	5,500	Direct
2025-02-28	4,800	4,800	Direct
2026-02-28	2,464	2,464	Direct
2017-02-28	1,200	1,200	Direct
2018-02-28	2,134	2,134	Direct
2019-02-28	2,464	2,464	Direct
2019-08-02	25,000	25,000	Direct

Footnotes

A total of 80,000 options were granted on 04/26/2007. 20,903 options were vested and exercisable as of 1/3/2017.
Option exercise and sale pursuant to a 10b5-1 plan established to allow the exercise and sale of options which will be forfeited if not exercised prior to the April 26, 2017 expiration date.
The shares reported in column 4 were sold in one transaction with a price of $35.45 per share.
Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
This option grant vests over a 3 year period, one-third of the total amount vests on the first anniversary of the applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock
Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.
This restricted stock unit vests over a 3 year period, with 1/3 of the shares vesting on the first anniversary of the date of grant and one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
This restricted stock unit vests over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.