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Filing Details

Accession Number:: 0001209191-13-053711
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-11-22 13:49:03
Reporting Period:: 2013-11-21

Filing Date:: 2013-11-22
Accepted Time:: 2013-11-22 13:49:03
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
1485593	Nacey Jeffrey Maggioncalda	1050 Enterprise Way 3Rd Floor Sunnyvale CA 94089	Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-11-21	400	$7.50	236,077	No	4	M	Indirect	The Maggioncalda Family Trust
Common Stock	Disposition	2013-11-21	400	$62.96	235,677	No	4	S	Indirect	The Maggioncalda Family Trust
Common Stock	Acquisiton	2013-11-21	1,300	$7.50	236,977	No	4	M	Indirect	The Maggioncalda Family Trust
Common Stock	Disposition	2013-11-21	1,300	$64.57	235,677	No	4	S	Indirect	The Maggioncalda Family Trust
Common Stock	Acquisiton	2013-11-21	9,799	$7.50	245,476	No	4	M	Indirect	The Maggioncalda Family Trust
Common Stock	Disposition	2013-11-21	9,799	$65.77	235,677	No	4	S	Indirect	The Maggioncalda Family Trust
Common Stock	Acquisiton	2013-11-21	3,501	$7.50	239,178	No	4	M	Indirect	The Maggioncalda Family Trust
Common Stock	Disposition	2013-11-21	3,501	$66.51	235,677	No	4	S	Indirect	The Maggioncalda Family Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Indirect	The Maggioncalda Family Trust
No	4	S	Indirect	The Maggioncalda Family Trust
No	4	M	Indirect	The Maggioncalda Family Trust
No	4	S	Indirect	The Maggioncalda Family Trust
No	4	M	Indirect	The Maggioncalda Family Trust
No	4	S	Indirect	The Maggioncalda Family Trust
No	4	M	Indirect	The Maggioncalda Family Trust
No	4	S	Indirect	The Maggioncalda Family Trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2013-11-21	12,954	$0.00	12,954	$7.50

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2016-09-19	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	20,000	Indirect	By Child
Common Stock	20,000	Indirect	By Child
Common Stock	20,000	Indirect	by Child

Footnotes

The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2012.
The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $62.85 to $63.00 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.
The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $64.16 to $65.00 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.
The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $65.21 to $66.21 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.
The price reported in Col 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $66.23 to $66.85, 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.
The option award is fully vested.