-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NOEEjexrMdqweGG8PDDTTtXIyxYLRkuohhy8XbRVx3h90Q6eYpS+nSc/SLIlypzg QjgLxTs+BReOUUhi22gxMQ== 0001181431-10-040683.txt : 20100805 0001181431-10-040683.hdr.sgml : 20100805 20100805203805 ACCESSION NUMBER: 0001181431-10-040683 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100803 FILED AS OF DATE: 20100805 DATE AS OF CHANGE: 20100805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomas Brandon CENTRAL INDEX KEY: 0001497437 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34835 FILM NUMBER: 10996046 MAIL ADDRESS: STREET 1: 35 E. WACKER DRIVE STREET 2: SUITE 2400 CITY: CHICAGO STATE: IL ZIP: 60601 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 rrd283028.xml FORM 4 X0303 4 2010-08-03 0 0001337619 ENVESTNET, INC. ENV 0001497437 Thomas Brandon 35 EAST WACKER DRIVE, SUITE 2400 CHICAGO IL 60601 0 1 0 0 Chief Investment Officer Common Stock 2010-08-03 4 J 0 93784 A 239584 D Common Stock 2010-08-03 4 J 0 93784 D Common Stock 93784 0 D On August 3, 2010, The EnvestNet Group, Inc. ("ENG") merged with and into the Issuer, with the Issuer being the surviving entity. Pursuant to the merger, all of the shareholders of ENG, including the Reporting Person, exchanged their ENG common shares and preferred shares for shares of the Issuer's Common Stock and all of the Issuer common shares and preferred shares that were held by ENG became part of the Issuer's treasury stock. The shares referred to in Table I, Item 4 reflect the Reporting Person's acquisition of Issuer Common Stock pursuant to such exchange. On August 3, 2010, pursuant to the merger referred to above, each share of ENG's common stock was exchanged for 0.0935 shares of the Issuer's Common Stock. The ENG common stock had no expiration date. Represented an interest in the number of shares of the Issuer's Common Stock indicated in Table II, Item 5 as a result of the Reporting Person's beneficial ownership of 93,784 shares of common stock of ENG. On August 3, 2010, ENG merged with and into the Issuer and each share of ENG common stock was exchanged for 0.0935 shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. This number reflects that exchange and does not represent the actual number of shares of ENG common stock previously beneficially owned by the Reporting Person. /s/ Shelly O'Brien, by power of attorney for Brandon Thomas 2010-08-05 -----END PRIVACY-ENHANCED MESSAGE-----