Filing Details
- Accession Number:
- 0001209191-10-062854
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-29 17:15:32
- Reporting Period:
- 2010-12-28
- Filing Date:
- 2010-12-29
- Accepted Time:
- 2010-12-29 17:15:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1486162 | J. Deborah Behrman | 1804 Embarcadero Road Palo Alto CA 94303 | Vp, Human Resources | 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 | 52,696 | $8.50 | 70,914 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-12-28 | 52,696 | $20.00 | 18,218 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-12-28 | 15,155 | $6.51 | 33,373 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-12-28 | 15,155 | $20.00 | 18,218 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-12-28 | 12,149 | $7.99 | 30,367 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-12-28 | 12,149 | $20.00 | 18,218 | 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 | |
| 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 | 52,696 | $0.00 | 52,696 | $8.50 |
| Common Stock | Employee Stock Option - Right to Buy | Disposition | 2010-12-28 | 15,155 | $0.00 | 15,155 | $6.51 |
| Common Stock | Employee Stock Option - Right to Buy | Disposition | 2010-12-28 | 12,149 | $0.00 | 12,149 | $7.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,540 | 2017-04-17 | No | 4 | M | Direct | |
| 19,485 | 2018-11-11 | No | 4 | M | Direct | |
| 50,336 | 2019-11-09 | 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 1, 2010.
- The option award vests as to 15,621 shares on 11/9/10, and the remaining shares vest monthly thereafter from 11/09/10 to 11/09/13.
Billionaire Hedge Funds
