0001104659-17-054969.txt : 20170831 0001104659-17-054969.hdr.sgml : 20170831 20170831171309 ACCESSION NUMBER: 0001104659-17-054969 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: Roame Charles CENTRAL INDEX KEY: 0001527569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 171063943 MAIL ADDRESS: STREET 1: 1735 TIBURON BOULEVARD CITY: TIBURON STATE: CA ZIP: 94920 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 0001527569 Roame Charles 35 EAST WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 0 0 0 Common Stock 2017-08-29 4 M 0 53 A 1782 D Common Stock 10901 I See Footnote Common Stock 3165 I By Tiburon Strategic Advisors, LLC Director Stock Option (Right to Buy) 12.45 2013-02-28 2022-02-28 Common Stock 2334 2334 I See Footnote Director Stock Option (Right to Buy) 15.34 2014-02-28 2023-02-28 Common Stock 8116 8116 I See Footnote Director Stock Option (Right to Buy) 41.84 2015-02-28 2024-02-28 Common Stock 3506 3506 I See Footnote Director Stock Option (Right to Buy) 55.29 2016-03-02 2025-03-02 Common Stock 2913 2913 I See Footnote Director Stock Option (Right to Buy) 20.51 2017-02-28 2026-02-28 Common Stock 5655 5655 I See Footnote Director Stock Option (Right to Buy) 31.70 2018-03-28 2027-03-28 Common Stock 2416 2416 I See Footnote Restricted Stock Units 2017-08-29 4 M 0 53 D 2019-02-28 Common Stock 53 322 D Restricted Stock Units 2018-02-28 Common Stock 1463 1463 D Restricted Stock Units 2020-03-28 Common Stock 2208 2208 D Represents shares held by a trust in which Mr. Roame is the trustee. This option grant vests over a 4 year period; one-fourth of the total amount vests on each anniversary of the date of grant. Each restricted stock unit is the economic equivalent of one share of Envestnet, Inc. Common Stock. Each restricted stock unit represents the contingent right to receive one share of common stock upon the vesting of the unit. These restricted stock unit vests 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. Mr. Roame is Managing Partner of Tiburon Strategic Advisors, LLC ("Tiburon"). As Managing Partner of Tiburon, Mr. Roame may be deemed to have voting and investment power over the shares owned by Tiburon. Mr. Roame disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. This option grant vests over a 3year 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. 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 641 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. /s/ Shelly O'Brien, by power of attorney for Charles Roame 2017-08-31