0001209191-12-046843.txt : 20120927 0001209191-12-046843.hdr.sgml : 20120927 20120927181621 ACCESSION NUMBER: 0001209191-12-046843 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120925 FILED AS OF DATE: 20120927 DATE AS OF CHANGE: 20120927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson James CENTRAL INDEX KEY: 0001497552 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 121114132 MAIL ADDRESS: STREET 1: 225 WEST WASHINGTON STREET 2: SUITE 1500 CITY: CHICAGO STATE: IL ZIP: 60606 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENVESTNET, INC. CENTRAL INDEX KEY: 0001337619 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 201409613 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 35 E WACKER DR STE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 312-827-2800 MAIL ADDRESS: STREET 1: 35 E WACKER DR STE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 FORMER COMPANY: FORMER CONFORMED NAME: ENVESTNET ASSET MANAGEMENT GROUP INC DATE OF NAME CHANGE: 20050831 4 1 c30029_4x0.xml MAIN DOCUMENT DESCRIPTION X0306 4 2012-09-25 0001337619 ENVESTNET, INC. ENV 0001497552 Johnson James 35 E. WACKER DRIVE SUITE 2400 CHICAGO IL 60601 1 0 0 0 Director Common Stock 1774 D Common Stock 2012-09-25 4 S 0 4861 12.05 D 669354 I By Apex Investment Fund IV L.P Common Stock 2012-09-25 4 S 0 3095 12.05 D 426439 I By Apex Investment Fund V Common Stock 2012-09-25 4 S 0 144 12.05 D 19814 I By Apex Strategic Partners IV L.P. Sale pursuant to a 10b5-1 Plan. Average share sales price. Mr. Johnson is a Managing Member of Apex Management IV, LLC, which is the sole general partner of Apex Investment Fund IV, L.P. and the Manager of Apex Strategic Partners IV, LLC. 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. /s/ Shelly O'Brien by power of attorney for James Johnson 2012-09-27