Filing Details
- Accession Number:
- 0001209191-12-051147
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-01 13:28:14
- Reporting Period:
- 2012-10-31
- Filing Date:
- 2012-11-01
- Accepted Time:
- 2012-11-01 13:28:14
- 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 |
---|---|---|---|---|---|---|---|
1486181 | W. Garry Hallee | 1050 Enterprise Way 3Rd Floor Sunnyvale CA 94089 | Evp, Technology & Svc Delivery | No | 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 | 2012-10-31 | 10,000 | $7.50 | 40,000 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-10-31 | 10,000 | $24.00 | 30,000 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2012-10-31 | 10,000 | $0.00 | 10,000 | $7.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
81,363 | 2016-09-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 39,066 | Indirect | The Hallee Living Trust |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on May 25, 2012.
- The option award is fully vested.