Filing Details
- Accession Number:
- 0001209191-10-017960
- 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 12:23:54
- 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 |
|---|---|---|---|---|---|---|---|
| 1485593 | Nacey Jeffrey Maggioncalda | 1804 Embarcadero Road Palo Alto CA 94303 | Ceo & President | Yes | 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 | 13,197 | $0.00 | 144,739 | No | 4 | C | Indirect | By The 1999 Maggioncalda Family Trust |
| Common Stock | Acquisiton | 2010-03-19 | 11,667 | $1.00 | 156,406 | No | 4 | M | Indirect | By The 1999 Maggioncalda Family Trust |
| Common Stock | Acquisiton | 2010-03-19 | 15,325 | $3.00 | 171,731 | No | 4 | M | Indirect | By The 1999 Maggioncalda Family Trust |
| Common Stock | Disposition | 2010-03-19 | 137,597 | $12.00 | 57,142 | No | 4 | S | Indirect | By The 1999 Maggioncalda Family Trust |
| Common Stock | Disposition | 2010-03-19 | 10,000 | $12.00 | 26,222 | No | 4 | S | Indirect | As Custodian for child |
| Common Stock | Disposition | 2010-03-19 | 10,000 | $12.00 | 26,222 | No | 4 | S | Indirect | As Custodian for child |
| Common Stock | Disposition | 2010-03-19 | 10,000 | $12.00 | 26,222 | No | 4 | S | Indirect | As Custodian for child |
| Common Stock | Disposition | 2010-03-19 | 5,600 | $12.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By The 1999 Maggioncalda Family Trust |
| No | 4 | M | Indirect | By The 1999 Maggioncalda Family Trust |
| No | 4 | M | Indirect | By The 1999 Maggioncalda Family Trust |
| No | 4 | S | Indirect | By The 1999 Maggioncalda Family Trust |
| No | 4 | S | Indirect | As Custodian for child |
| No | 4 | S | Indirect | As Custodian for child |
| No | 4 | S | Indirect | As Custodian for child |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series C Preferred Stock | Disposition | 2010-03-19 | 13,197 | $0.00 | 13,197 | $0.00 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2010-03-19 | 11,667 | $0.00 | 11,667 | $1.00 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2010-03-19 | 15,325 | $0.00 | 15,325 | $3.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | 2010-03-19 | 2012-03-15 | No | 4 | M | Direct |
| 59,675 | 2010-03-19 | 2014-01-30 | No | 4 | M | Direct |
Footnotes
- The Series C preferred stock converted into shares of common stock on a one-for-one basis and had no expiration date.
- This reflects a bona fide gift of 23,008 shares that were held directly by the reporting person.
Billionaire Hedge Funds
