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Filing Details

Accession Number:: 0001104659-17-013619
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-03-02 19:51:43
Reporting Period:: 2017-02-28

Filing Date:: 2017-03-02
Accepted Time:: 2017-03-02 19:51:43
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
Common Stock	Acquisiton	2017-02-28	1,200	$0.00	9,825	No	4	M	Direct
Common Stock	Disposition	2017-02-28	374	$0.00	9,451	No	4	F	Direct
Common Stock	Acquisiton	2017-02-28	1,067	$0.00	10,518	No	4	M	Direct
Common Stock	Disposition	2017-02-28	332	$0.00	10,186	No	4	F	Direct
Common Stock	Acquisiton	2017-02-28	821	$0.00	11,007	No	4	M	Direct
Common Stock	Disposition	2017-02-28	256	$0.00	10,751	No	4	F	Direct
Common Stock	Acquisiton	2017-03-01	3,000	$7.50	13,751	No	4	M	Direct
Common Stock	Disposition	2017-03-01	3,000	$38.95	10,751	No	4	S	Direct
Common Stock	Acquisiton	2017-03-01	1,500	$7.50	12,251	No	4	M	Direct
Common Stock	Disposition	2017-03-01	1,500	$39.00	10,751	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	S	Direct
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	2017-03-01	4,500	$0.00	11,903	$7.50
Common Stock	Restricted Stock Unit	Disposition	2017-02-28	1,200	$0.00	1,200	$0.00
Common Stock	Restricted Stock Unit	Disposition	2017-02-28	1,067	$0.00	1,067	$0.00
Common Stock	Restricted Stock Unit	Disposition	2017-02-28	821	$0.00	821	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
7,403	2007-04-26	2017-04-26	No	4	M	Direct
0		2017-02-28	No	4	M	Direct
1,067		2018-02-28	No	4	M	Direct
1,643		2019-02-28	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 Unit	$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
2019-08-02	25,000	25,000	Direct

Footnotes

A total of 80,000 options were granted on 04/26/2007. 11,903 options were vested and exercisable as of 3/1/2017.
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 $38.95 per share.
The shares reported in column 4 were sold in one transaction with a price of $39.00 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.
The reporting person was granted 3,600 restricted stock units on February 28, 2014. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested.
The reporting person was granted 3,200 restricted stock units on February 28, 2015. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested.
The reporting person was granted 2,464 restricted stock units on February 29, 2016. These restricted stock units vest 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.
The reporting person was granted 35,000 restricted stock units on August 2, 2016. These restricted stock units vest over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock "). The reporting person was granted 3,600 restricted stock units on February 28, 2014 of which one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock; and then the remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock unit grant on each succeeding February 28th until fully vested. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 2014.
The reporting person is reporting the withholding by Envestnet, Inc. of 374 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the delivery of the Converted Common Stock to the reporting person on February 28, 2017.
Represents the conversion upon vesting of restricted stock awards into common stock (the "Converted Common Stock "). The reporting person was granted 3,200 restricted stock units on February 28, 2015 of which one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock; and then the remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock unit grant on each succeeding February 28th until fully vested. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 2015.
The reporting person is reporting the withholding by Envestnet, Inc. of 332 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the delivery of the Converted Common Stock to the reporting person on February 28, 2017.
Represents the conversion upon vesting of restricted stock awards into common stock (the "Converted Common Stock "). The reporting person was granted 2,464 restricted stock units on February 29, 2016 of which one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 2016.
The reporting person is reporting the withholding by Envestnet, Inc. of 256 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the delivery of the Converted Common Stock to the reporting person on February 28, 2017.