Filing Details
- Accession Number:
- 0001181431-13-030775
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-24 17:46:50
- Reporting Period:
- 2013-05-22
- Filing Date:
- 2013-05-24
- Accepted Time:
- 2013-05-24 17:46:50
- 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 | 2013-05-23 | 10,150 | $42.74 | 15,850 | No | 4 | S | Indirect | By Koontz Investments, LP Fund 3 |
Common Stock | Disposition | 2013-05-23 | 5,000 | $42.80 | 6,638 | No | 4 | S | Indirect | By Paul Koontz 2010 Annuity Trust |
Common Stock | Disposition | 2013-05-23 | 5,000 | $42.91 | 6,638 | No | 4 | S | Indirect | By Andrea Koontz 2010 Annuity Trust |
Common Stock | Disposition | 2013-05-24 | 9,850 | $42.33 | 6,000 | No | 4 | S | Indirect | By Koontz Investments, LP Fund 3 |
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 |
No | 4 | S | Indirect | By Koontz Investments, LP Fund 3 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Unit | Acquisiton | 2013-05-22 | 5,000 | $0.00 | 5,000 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
5,000 | No | 4 | A | Direct |
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 |
Common Stock | 1,250 | Direct |
Footnotes
- 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.
- Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- The Restricted Stock units vest in four equal annual installments beginning 5/22/2013.
- On 5/23/2013, Paul G. Koontz, as General Partner of Koontz Investments, LP Fund 3, sold 10,150 shares of stock.
- On 5/23/2013, Paul G. Koontz, Trustee of the Paul Koontz 2010 Annuity Trust, sold 5,000 shares of stock.
- On 5/23/2013, spouse of Paul G. Koontz, Andrea Koontz, Trustee of the Andrea Koontz 2010 Annuity Trust, sold 5,000 shares of stock.
- On 5/24/2013, Paul G. Koontz, as General Partner of Koontz Investments, LP Fund 3, sold 9,850 shares of stock.