Sec Form 4 Filing - Bergman Judson @ ENVESTNET, INC. - 2015-03-10

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Bergman Judson
2. Issuer Name and Ticker or Trading Symbol
ENVESTNET, INC. [ ENV]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
35 EAST WACKER DRIVE, SUITE 2400
3. Date of Earliest Transaction (MM/DD/YY)
03/10/2015
(Street)
CHICAGO, IL60601
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/10/2015 M 100,000 ( 3 ) A $ 5 694,214 D
Common Stock 03/10/2015 S 100,000 ( 3 ) D $ 51.75 ( 4 ) 594,214 D
Common Stock 03/10/2015 M 45,000 ( 3 ) A $ 7.5 639,214 D
Common Stock 03/10/2015 S 45,000 ( 3 ) D $ 51.75 ( 4 ) 594,214 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) $ 5 03/10/2015 M 100,000 02/01/2006( 1 )( 5 ) 11/14/2015 Common Stock 100,000 $ 0 70,000 D
Employee Stock Option (Right to Buy) $ 7.5 03/10/2015 M 45,000 02/01/2006( 2 )( 5 ) 11/14/2015 Common Stock 45,000 $ 0 0 D
Employee Stock Option (Right to Buy) $ 7.5 04/26/2007( 6 ) 04/26/2017 Common Stock 200,000 200,000 D
Employee Stock Option (Right to Buy) $ 7.5 04/30/2009( 5 ) 04/30/2018 Common Stock 36,000 36,000 D
Employee Stock Option (Right to Buy) $ 7.15 05/15/2010( 5 ) 05/15/2019 Common Stock 15,000 15,000 D
Employee Stock Option (Right to Buy) $ 9 07/28/2011( 7 ) 07/28/2020 Common Stock 376,000 376,000 D
Employee Stock Option (Right to Buy) $ 12.55 02/28/2012( 6 ) 02/28/2021 Common Stock 10,000 10,000 D
Employee Stock Option (Right to Buy) $ 12.45 02/28/2013( 6 ) 02/28/2022 Common Stock 7,951 7,951 D
Employee Stock Option (Right to Buy) $ 15.34 02/28/2014( 6 ) 02/28/2023 Common Stock 9,408 9,408 D
Employee Stock Option (Right to Buy) $ 41.84 02/28/2015( 6 ) 02/28/2024 Common Stock 20,300 20,300 D
Employee Stock Option (Right to Buy) $ 53.88 02/29/2016( 6 ) 02/28/2025 Common Stock 17,400 17,400 D
Restricted Stock Award ( 8 ) 02/29/2016( 9 ) 02/29/2016 Common Stock 1,212 ( 10 ) 1,212 D
Restricted Stock Award ( 8 ) 02/29/2016( 9 ) 02/28/2017 Common Stock 8,400 ( 10 ) 8,400 D
Restricted Stock Award ( 8 ) 02/29/2016( 9 ) 02/28/2018 Common Stock 11,600 ( 10 ) 11,600 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Bergman Judson
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO, IL60601
X Chief Executive Officer
Signatures
/s/ Shelly O'Brien, by power of attorney for Judson Bergman 03/12/2015
Signature of Reporting Person Date
Explanation of Responses:
( 1 )A total of 170,000 options were granted on 11/14/2005. 170,000 options were vested and exercisable as of 3/10/2015.
( 2 )A total of 170 000 options were granted on 11/14/2005. 45,000 options were vested and exercisable as of 3/10/2015.
( 3 )Option exercise and sale pursuant to a 10b5-1 plan.
( 4 )The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.38 to $53.24 inclusive.
( 5 )Original option grant vests in four installments beginning on February 1, 2006 and the remaining three installments on May 31 as listed in the "Date Exercisable" column.
( 6 )Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
( 7 )Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
( 8 )Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock
( 9 )Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
( 10 )This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.