0001104659-17-020467.txt : 20170330 0001104659-17-020467.hdr.sgml : 20170330 20170330203158 ACCESSION NUMBER: 0001104659-17-020467 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170328 FILED AS OF DATE: 20170330 DATE AS OF CHANGE: 20170330 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: 17727660 MAIL ADDRESS: STREET 1: 45 PARK AVENUE CITY: STONEHAM STATE: MA ZIP: 02180 4 1 a4.xml 4 X0306 4 2017-03-28 0 0001337619 ENVESTNET, INC. ENV 0001141058 FOX JAMES L 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 0 0 0 Common Stock 3634 D Director Stock Option (Right to Buy) 20.51 2017-02-28 2026-02-28 Common Stock 5210 5210 D Director Stock Option (Right to Buy) 31.70 2017-03-28 4 A 0 2872 31.70 A 2018-03-28 2027-03-28 Common Stock 2872 2872 D Restricted Stock Units 2019-02-28 Common Stock 442 442 D Restricted Stock Units 2018-02-28 Common Stock 1463 1463 D Restricted Stock Units 2017-03-28 4 A 0 2625 31.70 A 2020-03-28 Common Stock 2625 2625 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. This option grants vests over a 3-year period, one-third of the total amount vests on the first applicable date of grant and one-twelfth of the total amount vests each three-month anniversary of the date of grant thereafter. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock. These 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. These 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. 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 2017-03-30