Filing Details
- Accession Number:
- 0001209191-14-076753
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-12-18 17:27:09
- Reporting Period:
- 2013-11-21
- Filing Date:
- 2014-12-18
- Accepted Time:
- 2014-12-18 17:27:09
- Original Submission Date:
- 2013-11-22
- 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
| 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 | 1,455 | $7.50 | 237,132 | No | 4 | M | Indirect | The Maggioncalda Family Trust |
| Common Stock | Disposition | 2013-11-21 | 3,501 | $66.51 | 233,631 | 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 |
Footnotes
- This number of shares was incorrectly overstated in the reporting person's original form 4 by 2,046 shares.
- Due to the errors in Column 4 in the reporting person's original Form 4, the amount of securities beneficially owned by the reporting person following the reported transactions were overstated by 2,046 shares in the original Form 4 and in all Form 4s filed by the reporting person after his original Form 4 was filed. The numbers reported in Column 5 above represent the corrected total securities beneficially owned by the reporting person following the reported transaction and are as of 11/21/2013.
- 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 Column 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.
Billionaire Hedge Funds
