Filing Details
- Accession Number:
- 0001181431-13-027713
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-14 17:35:03
- Reporting Period:
- 2013-05-10
- Filing Date:
- 2013-05-14
- Accepted Time:
- 2013-05-14 17:35:03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1430592 | Financial Engines Inc. | FNGN | Investment Advice (6282) | 943250323 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1205496 | G Paul Koontz | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | Yes | No | 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 | Disposition | 2013-05-14 | 14,000 | $42.55 | 26,000 | No | 4 | S | Indirect | By Koontz Investments, LP Fund 3 |
| Common Stock | Disposition | 2013-05-10 | 18,000 | $40.00 | 11,638 | No | 4 | S | Indirect | By Paul Koontz 2010 Annuity Trust |
| Common Stock | Disposition | 2013-05-10 | 18,000 | $40.00 | 11,638 | No | 4 | S | Indirect | By Andrea Koontz 2010 Annuity Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Koontz Investments, LP Fund 3 |
| No | 4 | S | Indirect | By Paul Koontz 2010 Annuity Trust |
| No | 4 | S | Indirect | By Andrea Koontz 2010 Annuity Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,000 | Indirect | By The Koontz Revocable Trust Dated 06/29/1998 |
Footnotes
- On 5/14/2013, Paul G. Koontz, as General Partner of Koontz Investments, LP Fund 3, sold 14,000 shares of stock.
- Shares held by Koontz Investments, LP Fund 3. Paul G. Koontz is a General Partner of Koontz Investments, LP Fund 3 and disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein.
- Shares held by Paul G. Koontz as Trustee of the Koontz Revocable Trust Dated 06/29/1998.
- Shares held by Paul G. Koontz as the Trustee of the Paul Koontz 2010 Annuity Trust.
- Spouse of Paul G. Koontz, Andrea 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 an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- On 5/10/2013, Paul G. Koontz, as trustee of the Paul Koontz 2010 Annuity Trust, sold 18,000 shares of stock.
- On 5/10/2013, Andrea Koontz, trustee of the Andrea Koontz 2010 Annuity Trust and spouse of Paul Koontz, sold 18,000 shares of stock.
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