Filing Details

Accession Number:
0001209191-10-047949
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2010-09-30 12:50:59
Reporting Period:
2010-09-22
Filing Date:
2010-09-30
Accepted Time:
2010-09-30 12:50:59
Original Submission Date:
2010-09-23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1430592 Financial Engines Inc. FNGN Investment Advice (6282) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1485593 Nacey Jeffrey Maggioncalda 1804 Embarcadero Road
Palo Alto CA 94303
Ceo And President Yes Yes 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 Acquisiton 2010-09-22 2,858 $1.00 43,932 No 4 M Indirect By the 1999 Maggioncalda Family Trust
Common Stock Disposition 2010-09-22 2,858 $13.74 41,074 No 4 S Indirect By the 1999 Maggioncalda Family Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Indirect By the 1999 Maggioncalda Family Trust
No 4 S Indirect By the 1999 Maggioncalda Family Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Acquisiton 2010-09-22 2,858 $0.00 2,858 $1.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
165,847 2011-12-19 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 26,222 Indirect As Custodian for Child
Common Stock 26,222 Indirect As Custodian for Child
Common Stock 26,222 Indirect As Custodian for Child
Footnotes
  1. The total number of securities held after the stock option exercise, and subsequent sale, of shares was incorrectly reported on Form 4 filed 9/23/10; the correct total securities held after such exercise and subsequent sale is correctly reported herein.
  2. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2010.
  3. The price reported in Col 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.69 to $13.77, inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. The option award is fully vested.