Filing Details
- Accession Number:
- 0001209191-11-052630
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-25 16:35:17
- Reporting Period:
- 2011-10-24
- Filing Date:
- 2011-10-25
- Accepted Time:
- 2011-10-25 16:35:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1430594 | S. Anne Tuttle | 1804 Embarcadero Road Palo Alto CA 94303 | Evp & General Counsel | 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 | 2011-10-24 | 5,000 | $7.99 | 20,648 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-10-24 | 5,000 | $22.32 | 15,648 | 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 | 2011-10-24 | 5,000 | $0.00 | 5,000 | $7.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 35,006 | 2019-11-09 | 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 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 $21.97 to $22.55, 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.
- This option vests and is exercisable in accordance with the following schedule: 12/48 of the shares subject to the Option vest on the 12-month anniversary of 11/09/2009 and 1/48 of the total number of shares vest on the 9th of each month thereafter until the Option is fully vested on 11/09/2013.
Billionaire Hedge Funds
