Home > Insider Trading > Filing (0001209191-17-029724)

Filing Details

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
1430593	J. Raymond Sims	1050 Enterprise Way 3Rd Floor Sunnyvale CA 94089	Evp & 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
Common Stock	Acquisiton	2017-05-01	15,459	$26.43	26,358	No	4	M	Direct
Common Stock	Disposition	2017-05-01	15,549	$42.55	10,899	No	4	S	Direct
Common Stock	Acquisiton	2017-05-02	9,100	$26.22	19,999	No	4	M	Direct
Common Stock	Disposition	2017-05-02	9,100	$42.51	10,899	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
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	2017-05-01	15,459	$0.00	15,459	$26.43
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2017-05-02	9,100	$0.00	9,100	$26.22

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
37,545		2026-05-20	No	4	M	Direct
0		2022-11-16	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 February 28, 2017
The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $42.20 to $42.70 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.
The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $42.25 to $43.25 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.
The option award vests as to 13,251 shares on 2/26/17, and the remaining shares vest monthly thereafter from 3/26/17 to 2/26/20.
The option award is fully vested.