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Filing Details

Accession Number:: 0001104659-15-082561
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2015-12-02 21:44:17
Reporting Period:: 2015-11-24

Filing Date:: 2015-12-02
Accepted Time:: 2015-12-02 21:44:17
Original Submission Date:: 2017-11-27
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
1336059	Anil Arora	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
Common Stock	Acquisiton	2015-11-24	519	$0.00	93,354	No	4	M	Direct
Common Stock	Disposition	2015-11-24	271	$0.00	93,083	No	4	F	Direct
Common Stock	Disposition	2015-11-24	40,000	$31.32	53,083	No	4	S	Direct
Common Stock	Disposition	2015-11-27	10,000	$32.00	43,083	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Award	Acquisiton	2015-11-24	519	$0.00	519	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
20,354			No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	136	Indirect	By Trust for child #1
Common Stock	136	Indirect	By Trust for child #1

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Restricted Stock Award	$0.00	1,883	1,883	Direct
Common Stock	Restricted Stock Award	$0.00	6,791	6,791	Direct
Common Stock	Restricted Stock Award	$0.00	11,257	11,257	Direct
Common Stock	Restricted Stock Award	$0.00	7,772	7,772	Direct
Common Stock	Restricted Stock Award	$0.00	12,154	12,154	Direct
Common Stock	Restricted Stock Award	$0.00	40,169	40,169	Direct

Amount	Remaning Holdings	Nature of Ownership
1,883	1,883	Direct
6,791	6,791	Direct
11,257	11,257	Direct
7,772	7,772	Direct
12,154	12,154	Direct
40,169	40,169	Direct

Footnotes

Represents the vesting of restricted Common Stock. The reporting person was granted 20,873 shares on November 19, 2015 which vest monthly in 40 equal installments until February 24, 2019.
The reporting person is reporting the withholding by Envestnet, Inc. of 271 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the delivery of the Common Stock to the reporting person on November 24, 2015.
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at respective prices ranging from $31.21 to $31.50, inclusive.
These shares are held in trust for the benefit of a child of the reporting person for which the reporting person serves as trustee. The reporting person shares voting and investment control over the shares but disclaims beneficial ownership of the shares.
Each share of restricted stock is one share of Envestnet, Inc. Common Stock that remains subject to restrictions until the award becomes vested.
The reporting person was granted 1,833 shares of restricted stock on November 19, 2015, pursuant to the terms of the Agreement and Plan of Merger dated August 10, 2015 (the "Merger") by and among Issuer, Yale Merger Corp ("Merger Sub") and Yodlee, Inc. ("Yodlee"), Merger Sub merged with and into Yodlee. This restricted stock vests monthly in 6 equal installments until May 16, 2016.
The reporting person was granted 6,791 shares of restricted stock on November 19, 2015, pursuant to the terms of the Merger Agreement and the Merger. This restricted stock vests monthly in 17 equal installments until April 1, 2017.
The reporting person was granted 11,257 shares of restricted stock on November 19, 2015, pursuant to the terms of the Merger Agreement and the Merger. This restricted stock vests monthly in 29 equal installments until March 31, 2018.
The reporting person was granted 20,873 shares of restricted stock on November 19, 2015, pursuant to the terms of the Merger Agreement and the Merger. This restricted stock vests monthly in 40 equal installments until February 24, 2019. 519 shares of Common Stock vested on November 24, 2015, leaving 20,354 shares of restricted Common Stock subject to further monthly vesting.
The reporting person was granted 7,772 shares of restricted stock on November 19, 2015, pursuant to the terms of the Merger Agreement and the Merger. This restricted stock award vests quarterly in 5 equal installments until January 1, 2017.
The reporting person was granted 12,154 shares of restricted stock on November 19, 2015, pursuant to the terms of the Merger Agreement and the Merger. This restricted stock award vests annually in 3 equal installments until May 15, 2018.
The reporting person was granted 40,169 shares of restricted stock on November 19, 2015, pursuant to the terms of the Merger Agreement and the Merger. This restricted stock award vests annually in 3 equal installments until February 24, 2018.
Each share of restricted stock represents one share of Envestnet, Inc. Common Stock that remains subject to restrictions until the award becomes vested.