SEC Form 4 · accession 0001628280-19-002565
ENVESTNET, INC. · ENV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Roame
Director
Period of report
Mar 4, 2019
Accepted (ET)
Mar 6, 2019 · 7:41 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 StockF2 | Mar 4, 2019 | A | 2,490 | $0.00 | A | 13,038 | 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
- F1Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis.
- 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.