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Filing Details

Accession Number:: 0001104659-17-067490
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2017-11-09 18:52:33
Reporting Period:: 2017-11-01

Accepted Time:: 2017-11-09 18:52:33
Original Submission Date:: 2017-11-03
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
1497434	Shelly O'brien	35 East Wacker Drive Suite 2400 Chicago IL 60601	Chief Legal Officer	No	Yes	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	2017-11-01	3,000	$9.00	16,292	No	4	M	Direct
Common Stock	Disposition	2017-11-01	3,000	$53.28	13,292	No	4	S	Direct
Common Stock	Acquisiton	2017-11-02	2,083	$0.00	37,260	No	4	M	Direct
Common Stock	Disposition	2017-11-02	977	$53.70	36,283	No	4	F	Direct

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2017-11-01	3,000	$0.00	3,000	$9.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
12,366	2011-07-28	2020-07-28	No	4	M	Direct

Footnotes

Reflects the cashless exercise of stock options which were granted pursuant to Rule 16b-3. The sale was pursuant to a Rule 10b5-1 plan that covers the cashless exercise and sale of stock options prior to their expiration date.
The Common Shares reported herein as being sold were sold at a range of between $53.10 and $53.60 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
This total has been corrected from the original Form 4 filing to reflect the option exercise to which this sale relates.
Represents the issuance of Envestnet, Inc. common stock upon the vesting of restricted stock units effective November 2, 2017 (the "November Vested Restricted Stock Units"). Restricted stock units convert into common stock on a one-for-one basis. The reporting person was granted 25,000 restricted stock units on August 2, 2016 of which one-twelfth of the total amount vested on November 2, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on August 4, 2016.
Starting with the November 2, 2017 vesting of restricted stock units, the issuer's method of reporting restricted stock units has been revised to report such grants in Table I rather than as previously reported in Table II. Accordingly, amount includes unvested restricted stock units previously reported in Table II.
This total has been corrected from the original Form 4 filing to reflect the option exercise and sale to which this amendment relates.
The reporting person is reporting the withholding by Envestnet, Inc. of 977 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the vesting for tax purposes of the November Vested Restricted Stock Units to the reporting person on November 2, 2017.
Original option grant vested in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.