0001104659-17-071441.txt : 20171201 0001104659-17-071441.hdr.sgml : 20171201 20171201160900 ACCESSION NUMBER: 0001104659-17-071441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171129 FILED AS OF DATE: 20171201 DATE AS OF CHANGE: 20171201 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: 171234298 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 2017-11-29 0 0001337619 ENVESTNET, INC. ENV 0001141058 FOX JAMES L 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 0 0 0 Common Stock 2017-11-29 4 M 0 55 A 8164 D Restricted Stock Units 2017-11-29 4 M 0 55 D 2019-02-28 Common Stock 55 277 D Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective November 29, 2017 (the "November Vested Restricted Stock Units"). Restricted stock units convert into common stock on a one-for-one basis. The reporting person was granted 663 restricted stock units on February 29, 2016 of which one-twelfth of the total amount vested on November 29, 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. Starting with the November 29, 2017 vesting of restricted stock units, the issuer's method of reporting restricted stock units has been revised to report such grants in Table I rather than as previously reported in Table II. Accordingly, amount includes unvested restricted stock units previously reported in Table II. Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit. 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. Because the issuer has revised its method of reporting restricted stock units so that they appear in Table I rather then Table II, the 277 unvested restricted stock units of this tranche are included in the total number of shares of Common Stock reported in Table I. /s/ Shelly O'Brien, by power of attorney for James L. Fox 2017-12-01