Filing Details

Accession Number:
0001181431-10-039430
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-07-30 13:00:00
Reporting Period:
2010-07-28
Filing Date:
2010-07-30
Accepted Time:
2010-07-30 21:52:15
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
1497552 James Johnson 35 East Wacker Drive, Suite 2400
Chicago IL 60601
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2010-07-28 490 $9.00 0 No 4 S Direct
Common Stock Disposition 2010-07-28 293,130 $9.00 0 No 4 S Indirect By Apex Investment Fund IV, L.P and Apex Investment Fund V, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Indirect By Apex Investment Fund IV, L.P and Apex Investment Fund V, L.P.
Footnotes
  1. Shares sold pursuant to Issuer's initial public offering.
  2. Both reporting person and indirect owners, Apex Investment Fund IV, L.L. and Apex Investment Fund V,. L.P. held shares of common stock of The EnvestNet Group, Inc. "("ENG"), the issuer's 40.9% shareholder. Upon the consummation of the issuer's initial public offering, ENG will merge with and into the issuer. Each share of ENG common stock and issuer preferred stock will automatically convert into common shares of the issuer upon closing.
  3. Mr. Johnson is also a Member of Apex Management V, LLC, the sole general partner of Apex Investment Fund V, L.P. Mr. Johnson shares voting and dispositive power over the securities held by these funds. Mr. Johnson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interests therein.