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