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
- Shares sold pursuant to Issuer's initial public offering.
- 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.
- 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.