0001104659-17-054951.txt : 20170831 0001104659-17-054951.hdr.sgml : 20170831 20170831165024 ACCESSION NUMBER: 0001104659-17-054951 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170829 FILED AS OF DATE: 20170831 DATE AS OF CHANGE: 20170831 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: 171063793 MAIL ADDRESS: STREET 1: 45 PARK AVENUE CITY: STONEHAM STATE: MA ZIP: 02180 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 1 a4.xml 4 X0306 4 2017-08-29 0 0001337619 ENVESTNET, INC. ENV 0001141058 FOX JAMES L 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 0 0 0 Common Stock 2017-08-29 4 M 0 55 A 3744 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 2018-03-28 2027-03-28 Common Stock 2872 2872 D Restricted Stock Units 2017-08-29 4 M 0 55 D 2019-02-28 Common Stock 55 332 D Restricted Stock Units 2018-02-28 Common Stock 1463 1463 D Restricted Stock Units 2020-03-28 Common Stock 2625 2625 D This option grant vests over a 4 year period; one-fourth of the total amount vests on the first anniversary of the date of grant and 1/36 of the total amount vests on each one-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 vests on the first anniversary of the date of the grant of restricted stock units and then one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter. These restricted stock unit vests over a 2-year period; 40% of the total amount vests on the date of the grant and then 30% of the total amount vests on each anniversary of the date of the grant thereafter. Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit. Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective August 29, 2017. Restricted stock units convert into common stock on a one-for-one basis. The reporting person was granted 663 stock units on February 29, 2016 of which one-third of the total amount vested on February 28, 2017 (the first anniversary of the date of grant) 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. This option grant vests over a 3 year period; one-third of the total amount vests on the first anniversary of the date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter. /s/ Shelly O'Brien, by power of attorney for James L. Fox 2017-08-31