Filing Details
- Accession Number:
- 0001209191-11-040637
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-07-22 17:14:57
- Reporting Period:
- 2011-07-21
- Filing Date:
- 2011-07-22
- Accepted Time:
- 2011-07-22 17:14:57
- 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 | 2011-07-21 | 3,953 | $8.50 | 27,362 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-21 | 3,953 | $25.00 | 23,409 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-07-21 | 812 | $7.99 | 24,221 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-21 | 812 | $25.00 | 23,409 | 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 | 2011-07-21 | 3,953 | $0.00 | 3,953 | $8.50 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-07-21 | 812 | $0.00 | 812 | $7.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-04-17 | No | 4 | M | Direct | |
| 46,052 | 2018-11-09 | 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 May 12, 2011.
- The option award is fully vested.
- The option award vests as to 15,621 shares on 11/09/10, and the remaining shares vest monthly thereafter from 12/09/10 to 11/09/13.
Billionaire Hedge Funds
