SEC Form 4 · accession 0001104659-17-068504
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Roame
Director
Period of report
Nov 13, 2017
Accepted (ET)
Nov 14, 2017 · 4:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001337619
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 13, 2017 | P | 323 | $51.43 | A | 15,217 | I | See Footnote |
| Common Stock | holding | — | — | — | 1,782 | D | ||
| Common StockF3 | holding | — | — | — | 3,165 | I | By Tiburon Strategic Advisors, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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, as well as the transfer of such restricted stock units to indirect ownership by a trust in which Mr. Roame is the trustee.
- F2Represents shares held by a trust in which Mr. Roame is the trustee.
- F3Mr. 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.