0001104659-17-013628.txt : 20170302 0001104659-17-013628.hdr.sgml : 20170302 20170302200143 ACCESSION NUMBER: 0001104659-17-013628 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170228 FILED AS OF DATE: 20170302 DATE AS OF CHANGE: 20170302 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FOX JAMES L CENTRAL INDEX KEY: 0001141058 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 17661087 MAIL ADDRESS: STREET 1: 45 PARK AVENUE CITY: STONEHAM STATE: MA ZIP: 02180 4 1 a4.xml 4 X0306 4 2017-02-28 0 0001337619 ENVESTNET, INC. ENV 0001141058 FOX JAMES L 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 0 0 0 Common Stock 2017-02-28 4 M 0 1463 0 A 3413 D Common Stock 2017-02-28 4 M 0 221 0 A 3634 D Director Stock Option (Right to Buy) 20.51 2017-02-28 2026-02-28 Common Stock 5210 5210 D Restricted Stock Unit 2017-02-28 4 A 0 221 D 2019-02-28 Common Stock 221 442 D Restricted Stock Unit 2017-02-28 4 A 0 1463 D 2018-02-28 Common Stock 1463 1463 D Original option grant vests monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary of the grant.as listed in the "Date Exercisable" column. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock. This restricted stock units vest over a 3 year period, one third of the total amount vest on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary. This restricted stock units vest over a 3 year period, 40% of the total amount vests on the date of the grant of restricted stock; and then 30% of the total amount vests on February 28, 2017 and the remaining 30% vests on February 28, 2018. Represents the conversion upon vesting of restricted stock units into common stock. The reporting person was granted 4,876 restricted stock units on February 29, 2016, of which 40% (1,950 shares) subject to the restricted stock units of the grant, vested on February 29, 2016 and 30% (1,463 shares) vested on February 28, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 2016. Represents the conversion upon vesting of restricted stock awards into common stock. The reporting person was granted 663 restricted stock units on February 29, 2016 of which one-third of the total amount vests on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 2016. Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit. /s/ Shelly O'Brien, by power of attorney for James Fox 2015-03-02