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Filing Details

Accession Number:: 0001104659-17-029491
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-05-03 17:38:39
Reporting Period:: 2017-05-02

Filing Date:: 2017-05-03
Accepted Time:: 2017-05-03 17:38:39
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	2017-05-01	2,000	$7.50	12,751	No	4	M	Direct
Common Stock	Disposition	2017-05-01	2,000	$34.85	10,751	No	4	S	Direct
Common Stock	Acquisiton	2017-05-02	2,083	$0.00	12,834	No	4	M	Direct
Common Stock	Disposition	2017-05-02	892	$0.00	11,942	No	4	F	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	F	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	2017-05-01	2,000	$0.00	2,000	$7.50
Common Stock	Restricted Stock Units	Disposition	2017-05-02	2,083	$0.00	2,083	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2009-04-30	2018-04-30	No	4	M	Direct
18,751		2019-08-02	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)	$7.15	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	Employee Stock Option (Right to Buy)	$31.70	2018-03-28	2027-03-28	1,667	1,667	Direct
Common Stock	Restricted Stock Units	$0.00		2018-02-28	1,067	1,067	Direct
Common Stock	Restricted Stock Units	$0.00		2019-02-28	1,643	1,643	Direct
Common Stock	Restricted Stock Units	$0.00		2020-03-28	5,000	5,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
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
2027-03-28	1,667	1,667	Direct
2018-02-28	1,067	1,067	Direct
2019-02-28	1,643	1,643	Direct
2020-03-28	5,000	5,000	Direct

Footnotes

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 3,200 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.
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.
These restricted stock units over a 3 year period, with one-twelfth of the total amount vesting on each three-month anniversary of the date of grant.
A total of 5,000 options were granted on 04/30/2008. 2,000 options were vested and exercisable as of 05/02/2017.
Option and 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 30, 2018 expiration date.
The shares reported in column 4 were sold in one transaction with a price of $34.85 per share.
Represents the restricted shares of Envestnet, Inc. common stock that became vested for tax purposes effective May 2, 2017 (the "May Vested Restricted Shares"). The reporting person was granted 20,000 restricted stock units on August 2, 2016 of which one-twelfth of the total amount vested on May 2, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on August 4, 2016.
The reporting person is reporting the withholding by Envestnet, Inc. of 892 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the vesting for tax purposes of the May Vested Restricted Shares to the reporting person on May 2, 2017.