Filing Details
- Accession Number:
- 0001209191-10-062812
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-29 13:26:19
- Reporting Period:
- 2010-12-28
- Filing Date:
- 2010-12-29
- Accepted Time:
- 2010-12-29 13:26:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1486173 | M. Kenneth Fine | 1804 Embarcadero Road Palo Alto CA 94303 | Evp, Marketing | 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 | 2010-12-28 | 13,913 | $6.51 | 67,918 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-12-28 | 13,913 | $20.00 | 54,005 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-12-28 | 6,087 | $7.50 | 60,092 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-12-28 | 6,087 | $20.00 | 54,005 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option- Right to Buy | Disposition | 2010-12-28 | 13,913 | $0.00 | 13,913 | $6.51 |
| Common Stock | Employee Stock Option - Right to Buy | Disposition | 2010-12-28 | 6,087 | $0.00 | 6,087 | $7.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 70,810 | 2018-11-11 | No | 4 | M | Direct | |
| 30,580 | 2016-03-24 | 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 June 3, 2010.
- The option award vests as to 31,250 shares on 11/11/09, and the remaining shares vest monthly thereafter from 12/11/09 to 11/11/12.
- The option award is fully vested.
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