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