Filing Details
- Accession Number:
- 0001209191-13-053230
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-19 20:07:29
- Reporting Period:
- 2013-11-16
- Filing Date:
- 2013-11-19
- Accepted Time:
- 2013-11-19 20:07:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1430594 | Tuttle Anne Cappel | 1050 Enterprise Way 3Rd Floor Sunnyvale CA 94089 | Evp & General Counsel | 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 | 2013-11-16 | 1,045 | $0.00 | 7,323 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-16 | 393 | $59.75 | 6,930 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-18 | 995 | $0.00 | 7,925 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-18 | 374 | $60.07 | 7,551 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2013-11-18 | 630 | $60.00 | 6,921 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2013-11-16 | 1,045 | $0.00 | 1,045 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2013-11-18 | 995 | $0.00 | 995 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,135 | No | 4 | M | Direct | ||
| 1,990 | No | 4 | M | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2013.
- 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 installments beginning 11/16/13.
- The restricted stock units vest in four equal annual installments beginning 11/18/12.
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