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