0001628280-20-007808.txt : 20200514
0001628280-20-007808.hdr.sgml : 20200514
20200514163426
ACCESSION NUMBER: 0001628280-20-007808
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200413
FILED AS OF DATE: 20200514
DATE AS OF CHANGE: 20200514
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Crager William
CENTRAL INDEX KEY: 0001497443
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34835
FILM NUMBER: 20878367
MAIL ADDRESS:
STREET 1: 489 FIFTH AVENUE
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
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/A
1
wf-form4a_158948844818861.xml
FORM 4/A
X0306
4/A
2020-04-13
2020-04-15
0
0001337619
ENVESTNET, INC.
ENV
0001497443
Crager William
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO
IL
60601
1
1
0
0
Chief Executive Officer*
Common Stock
2020-04-13
4
M
0
9094
9
A
259683
D
Common Stock
2020-04-13
4
S
0
6194
55.54
D
253489
D
Common Stock
2020-04-13
4
S
0
2900
55.96
D
250589
D
Common Stock
100
I
By wife
Employee Stock Option (Right to Buy)
9.0
2020-04-13
4
M
0
9094
0
D
2011-07-28
2020-07-28
Common Stock
9094.0
9092
D
This amendment 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 sales of the shares issued upon such exercise were previously reported in the reporting person's Form 4 filed on 04/15/2020.
The Common Shares reported herein as being sold were sold at a range of between $54.82 and $55.81 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 Amount of Securities Beneficially Owned Following the Reported Transaction has been adjusted to reflect the cashless exercise of stock options reported above.
The Common Shares reported herein as being sold were sold at a range of between $55.815 and $56.23 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.
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.
*and Chief Executive, Envestnet Wealth Solutions
/s/ Shelly O'Brien, by Power-of-Attorney for William Crager
2020-05-14