0001104659-15-016376.txt : 20150303
0001104659-15-016376.hdr.sgml : 20150303
20150303194229
ACCESSION NUMBER: 0001104659-15-016376
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150302
FILED AS OF DATE: 20150303
DATE AS OF CHANGE: 20150303
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: Roame Charles
CENTRAL INDEX KEY: 0001527569
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34835
FILM NUMBER: 15671356
MAIL ADDRESS:
STREET 1: 1735 TIBURON BOULEVARD
CITY: TIBURON
STATE: CA
ZIP: 94920
4
1
a4.xml
4
X0306
4
2015-03-02
0
0001337619
ENVESTNET, INC.
ENV
0001527569
Roame Charles
35 EAST WACKER DRIVE
SUITE 2400
CHICAGO
IL
60601
1
0
0
0
Common Stock
2015-03-03
4
P
0
165
54.90
A
165
D
Common Stock
2015-03-03
4
G
0
165
0
D
0
D
Common Stock
4306
I
See Footnote
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
2015-03-02
4
A
0
2913
55.29
A
2016-03-02
2025-03-02
Common Stock
2913
2913
D
Director Stock Option (Right to Buy)
55.29
2015-03-02
4
G
0
2913
55.29
D
2016-03-02
2025-03-02
Common Stock
2913
0
D
Director Stock Option (Right to Buy)
55.29
2016-03-02
2025-03-02
Common Stock
2913
2913
I
See Footnote
Restricted Stock Award
2015-10-29
Common Stock
283
283
I
See Footnote
Restricted Stock Award
2016-07-30
Common Stock
327
327
I
See Footnote
Represents shares held by a trust in which Mr. Roame is the trustee.
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.
2,913 options were granted to the Reporting Person on March 2, 2015.
Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
The reporting person was granted 567 restricted stock units on October 29, 2013, of which 1/2 of the shares subject to the restricted stock units of the grant vested on October 29, 2014. The common stock into which such vested restricted stock units converted on October 29, 2014 was reported in Table I on a Form 4 filed on October 31, 2014. The remaining unvested restricted stock units will continue to vest as to 1/2 of the original number of shares subject to the restricted stock awards on October 29, 2015.
The reporting person was granted 327 restricted stock units on July 30, 2014, of which 1/2 of the shares subject to the restricted stock units of the grant will vest on July 30, 2015. The grant was reported in Table II on a Form 4 filed on August 1, 2014. The remaining unvested restricted stock units will continue to vest as to 1/2 of the original number of shares subject to the restricted stock awards on July 30, 2016.
/s/ Shelly O'Brien, by power of attorney for Charles Roame
2015-03-03