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Filing Details

Accession Number:: 0001104659-17-020469
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-03-30 20:33:43
Reporting Period:: 2017-03-28

Filing Date:: 2017-03-30
Accepted Time:: 2017-03-30 20:33:43
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1337619	Envestnet Inc.	ENV	Services-Business Services, Nec (7389)	201409613

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1527569	Charles Roame	35 East Wacker Drive Suite 2400 Chicago IL 60601		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-03-28	276	$31.25	276	No	4	P	Direct
Common Stock	Disposition	2017-03-28	276	$0.00	8,952	No	4	G	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	G	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Director Stock Option (Right to Buy)	Acquisiton	2017-03-28	2,416	$31.70	2,416	$31.70
Common Stock	Restricted Stock Units	Acquisiton	2017-03-28	2,208	$31.70	2,208	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2	2018-03-28	2027-03-28	No	4	A	Indirect
2,208		2020-03-28	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,146	Indirect	By Tiburon Strategic Advisors, LLC

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Director Stock Option (Right to Buy)	$12.45	2013-02-28	2022-02-28	2,334	2,334	Indirect
Common Stock	Director Stock Option (Right to Buy)	$15.34	2014-02-28	2023-02-28	8,116	8,116	Indirect
Common Stock	Director Stock Option (Right to Buy)	$41.84	2015-02-28	2024-02-28	3,506	3,506	Indirect
Common Stock	Director Stock Option (Right to Buy)	$55.29	2016-02-28	2025-02-28	2,913	2,913	Indirect
Common Stock	Director Stock Option (Right to Buy)	$20.51	2017-02-28	2026-02-28	5,655	5,655	Indirect
Common Stock	Restricted Stock Units	$0.00		2019-02-28	428	428	Direct
Common Stock	Restricted Stock Units	$0.00		2018-02-28	1,463	1,463	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-02-28	2,334	2,334	Indirect
2023-02-28	8,116	8,116	Indirect
2024-02-28	3,506	3,506	Indirect
2025-02-28	2,913	2,913	Indirect
2026-02-28	5,655	5,655	Indirect
2019-02-28	428	428	Direct
2018-02-28	1,463	1,463	Direct

Footnotes

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.
This option grants vests over a 3-year period, one-third of the total amount vests on the first applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
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 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; and then one-twelfth of the total amount vests on each three-month anniversary.
This restricted stock award vests over a 3 year period, 40% of the total amount vests on the date of the grant of restricted stock; and then 30% of the total amount vests on February 28, 2017 and the remaining 30% vests on February 28, 2018.
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.