0001181431-11-032662.txt : 20110525 0001181431-11-032662.hdr.sgml : 20110525 20110525173127 ACCESSION NUMBER: 0001181431-11-032662 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110523 FILED AS OF DATE: 20110525 DATE AS OF CHANGE: 20110525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOONTZ PAUL G CENTRAL INDEX KEY: 0001205496 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 11871992 MAIL ADDRESS: STREET 1: FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD STE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 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 rrd313153.xml ENV FORM 4 PGK X0303 4 2011-05-23 0 0001337619 ENVESTNET, INC. ENV 0001205496 KOONTZ PAUL G C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 1 0 0 0 Common Stock 2011-05-23 4 J 0 687813 D 0 I By Foundation Capital Leadership Fund, LP Common Stock 2011-05-23 4 J 0 18340 D 0 I By Foundation Capital Leadership Principals Fund, LLC Common Stock 2011-05-23 4 J 0 9610 A 9610 I By Paul Koontz 2010 Annuity Trust Common Stock 2011-05-23 4 J 0 9610 A 9610 I By Andrea Koontz 2010 Annuity Trust Common Stock 1448895 I By Foundation Capital III, LP Common Stock 304342 I By Foundation Capital III Principals, LLC In kind distribution. On 5/23/2011, Foundation Capital Leadership Fund, LP distributed 687,813 shares of stock to its Partners through which Mr. Koontz received 9,610 shares indirectly. Paul G. Koontz is a Manager of (a) Foundation Capital Management Co. III, LLC ("FC3M"), which serves as the sole general partner of Foundation Capital III, L.P. ("FC3") and Foundation Capital III Principals, LLC ("FC3P") and (b) FC Leadership Management Co., LLC ("FCLM"), which serves as the sole general partner of Foundation Capital Leadership Fund, L.P. ("FCL") and Foundation Capital Leadership Principals Fund, LLC ("FCLP"). FC3M exercises sole voting and investment power over the shares owned by FC3 and FC3P and FCLM exercises sole voting and investment power over the shares owned by FCL and FCLP. As a Manager of FC3M and FCLM, Mr. Koontz may be deemed to share voting and investment power over the shares owned by FC3, FC3P, FCL and FCLP. Mr. Koontz disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. In kind distribution. On 5/23/2011, Foundation Capital Leadership Principals Fund, LLC distributed 18,340 shares of stock to its Partners through which Mr. Koontz received 0 shares indirectly. Paul G. Koontz is the trustee of the Paul Koontz 2010 Annuity Trust. In kind distribution. On 5/23/2011 Foundation Capital Leadership Fund, LP distributed 687,813 shares of stock to its Partners through which Andrea Koontz, spouse of Paul G. Koontz, recieved 9,610 shares indirectly. Andrea Koontz, Spouse of Paul G. Koontz, is the Trustee of the Andrea Koontz 2010 Annuity Trust. Mr. Koontz disclaims beneficial ownership of the reported securities, and this report shall not be deemed in admission that the reporting person is the beneficial owner of such securities for purpose of Section 16 or for any other purpose. /s/ Gail M. Haney, Attorney-in-fact 2011-05-25