Filing Details
- Accession Number:
- 0001209191-11-022804
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-04-13 18:00:18
- Reporting Period:
- 2011-03-28
- Filing Date:
- 2011-04-13
- Accepted Time:
- 2011-04-13 18:00:18
- Original Submission Date:
- 2011-03-29
- 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 And 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 | 2011-03-28 | 16,665 | $10.00 | 71,074 | No | 4 | M | Indirect | By the Maggioncalda Family Trust |
Common Stock | Disposition | 2011-03-28 | 16,665 | $25.87 | 54,409 | No | 4 | S | Indirect | By the Maggioncalda Family Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | By the Maggioncalda Family Trust |
No | 4 | S | Indirect | By the Maggioncalda Family Trust |
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 | 2011-03-28 | 16,665 | $0.00 | 16,665 | $10.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-04-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 26,222 | Indirect | As Special Trustee for Child |
Common Stock | 26,222 | Indirect | As Special Trustee for Child |
Common Stock | 26,222 | Indirect | As Special Trustee for Child |
Footnotes
- The sale as originally reported in a Form 4 dated 3/29/11 4 was erroneously reported as being effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2010. In fact the reported sale was effected pursuant to a Rule 10b5-1 trading plan which was adopted on November 17, 2010.
- The price reported in Col 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $25.205 to $26.36, 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 is fully vested.