UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
Current Report
Pursuant To Section 13 or 15 (d)
of the Securities Exchange Act of 1934
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On October 3, 2019, Envestnet, Inc. (“Envestnet”) announced that Jud Bergman, Chairman and Chief Executive Officer of Envestnet, died in an automobile accident. Mr. Bergman’s wife, Mary Miller, also died in the accident. Envestnet would like to offer sincere condolences to the families of Mr. Bergman and Ms. Miller.
Bill Crager, President of Envestnet and Chief Executive of Envestnet Wealth Solutions, has been named Envestnet’s Interim Chief Executive Officer. Mr. Crager has served as President of Envestnet since 2002.
There were no arrangements or understandings between Mr. Crager and any other person pursuant to which Mr. Crager was selected as an officer. Mr. Crager does not have any family relationships subject to disclosure under Item 401(d) of Regulation S-K or any direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
Ross Chapin, the Lead Independent Director of Envestnet’s Board of Directors has been named the Interim Chairman of Envestnet’s Board of Directors.
| Item 8.01 | Other Events. |
On October 3, 2019, Envestnet issued a press release announcing the matters disclosed above under Item 5.02. A copy of such press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
| Item 9.01. | Financial Statements and Exhibits. |
(d) Exhibits.
| 99.1 |
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| 104 |
Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| ENVESTNET, INC. | ||
| By: |
/s/ Peter D’Arrigo | |
| Name: |
Peter D’Arrigo | |
| Title: |
Chief Financial Officer | |
Date: October 4, 2019