Filing Details
- Accession Number:
- 0001209191-11-040639
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-07-22 17:18:00
- Reporting Period:
- 2011-07-21
- Filing Date:
- 2011-07-22
- Accepted Time:
- 2011-07-22 17:18:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1486875 | M. Lawrence Raffone | 1804 Embarcadero Road Palo Alto CA 94303 | Evp, Sales | 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 | 6,000 | $2.50 | 120,321 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-21 | 6,000 | $25.00 | 114,321 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 6,000 | $0.00 | 6,000 | $2.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 24,000 | 2013-10-28 | 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 November 17, 2010
- The option award is fully vested.
Billionaire Hedge Funds
