0001337619-20-000012.txt : 20200603 0001337619-20-000012.hdr.sgml : 20200603 20200603182306 ACCESSION NUMBER: 0001337619-20-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200601 FILED AS OF DATE: 20200603 DATE AS OF CHANGE: 20200603 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: 20941323 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_159122296833378.xml FORM 4 X0306 4 2020-06-01 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 2020-06-01 4 M 0 10535 9 A 279700 D Common Stock 2020-06-01 4 S 0 10535 74.12 D 269165 D Common Stock 13938 I See footnote Employee Stock Option (Right to Buy) 9.0 2020-06-01 4 M 0 10535 0 D 2011-07-28 2020-07-28 Common Stock 10535.0 3367 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 $74.00 and $74.40 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 four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column. Total does not include options from other tranches with different exercise prices, vesting dates, and expiration dates. /s/ Shelly O'Brien, by Power-of-Attorney for Brandon Thomas 2020-06-03