0001209191-13-013670.txt : 20130304 0001209191-13-013670.hdr.sgml : 20130304 20130304215258 ACCESSION NUMBER: 0001209191-13-013670 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130228 FILED AS OF DATE: 20130304 DATE AS OF CHANGE: 20130304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D'Arrigo Peter CENTRAL INDEX KEY: 0001497436 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 13663655 MAIL ADDRESS: STREET 1: 35 E. WACKER DRIVE STREET 2: SUITE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 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 c496278_4x0.xml MAIN DOCUMENT DESCRIPTION X0306 4 2013-02-28 0001337619 ENVESTNET, INC. ENV 0001497436 D'Arrigo Peter 35 E. WACKER DRIVE SUITE 2400 CHICAGO IL 60601 0 1 0 0 Chief Financial Officer Common Stock 2013-02-28 4 M 0 780 0 A 780 D Common Stock 2013-02-28 4 F 0 289 0 D 491 D Restricted Stock Award 2013-02-28 4 M 0 780 D Common Stock 780 1559 D Employee Stock Option (Right to Buy) 15.34 2013-02-28 4 A 0 8000 15.34 A 2023-02-28 Common Stock 8000 340195 D Restricted Stock Award 2013-02-28 4 A 0 3120 15.34 A 2016-02-28 Common Stock 3120 4679 D Represents the conversion upon vesting of restricted stock awards into common stock (the "Converted Common Stock #1"). On February 29, 2012, the reporting person was granted 2339 restricted stock awards, of which 1/3 of the shares subject to the restricted stock units vested on February 28, 2013. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on March 2, 2012. The reporting person is reporting the withholding by Envestnet, Inc. of 289 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the delivery of the Converted Common Stock #1 to the reporting person on February 28, 2013. Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. common stock. On February 29, 2012, the reporting person was granted 2339 restricted stock units, of which 1/3 of the shares subject to the restricted stock award vested on February 28, 2013. The common stock into which such vested restricted stock units converted on February 28, 2013 is reported in Table I on this Form 4. The remaining unvested restricted stock units will continue to vest as to 1/3 of the original number of shares subject to the restricted stock awards on each succeeding February 28th until fully vested. 8000 options were granted to the Reporting Person on 2/28/2013. Such options vest in three installments beginning on the first anniversary of the date of grant (2/28/2014). Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit. This restricted stock award vests in three installments beginning on the first anniversary of the date of the grant of restricted stock. /s/ Shelly O'Brien, by power of attorney for Peter D'Arrigo 2013-03-04