Filing Details
- Accession Number:
- 0001209191-10-017958
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-19 13:00:00
- Reporting Period:
- 2010-03-19
- Filing Date:
- 2010-03-19
- Accepted Time:
- 2010-03-19 12:22:35
- 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 |
|---|---|---|---|---|---|---|---|
| 1430593 | J. Raymond Sims | 1804 Embarcadero Road Palo Alto CA 94303 | Executive Vp & Cfo | 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 | 2010-03-19 | 25,861 | $0.00 | 133,475 | No | 4 | C | Direct | |
| Common Stock | Disposition | 2010-03-19 | 62,655 | $12.00 | 70,820 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-03-19 | 1,574 | $0.00 | 72,394 | No | 4 | J | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series E Preferred Stock | Disposition | 2010-03-19 | 25,861 | $0.00 | 25,861 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,542 | Indirect | As Custodian for child |
Footnotes
- The Series E preferred stock converted into shares of common stock on a one-for-one basis and had no expiration date.
- The reporting person received 1,574 shares of Common Stock in connection with the conversion, on a one-for-one basis, of his shares of Series E preferred stock.
Billionaire Hedge Funds
