Filing Details

Accession Number:
0001209191-12-023708
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-04-19 21:58:28
Reporting Period:
2012-04-18
Filing Date:
2012-04-19
Accepted Time:
2012-04-19 20:58:28
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 2012-04-18 320 $6.51 15,968 No 4 M Direct
Common Stock Disposition 2012-04-18 320 $21.75 15,648 No 4 S Direct
Common Stock Acquisiton 2012-04-18 1,138 $6.51 16,786 No 4 M Direct
Common Stock Disposition 2012-04-18 1,138 $21.75 15,648 No 4 S Direct
Common Stock Acquisiton 2012-04-18 260 $7.99 15,908 No 4 M Direct
Common Stock Disposition 2012-04-18 260 $21.75 15,648 No 4 S Direct
Common Stock Acquisiton 2012-04-18 1,302 $7.99 16,950 No 4 M Direct
Common Stock Disposition 2012-04-18 1,302 $21.75 15,648 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
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 2012-04-18 320 $0.00 320 $6.51
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-04-18 1,138 $0.00 1,138 $6.51
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-04-18 260 $0.00 260 $7.99
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-04-18 1,302 $0.00 1,302 $7.99
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
4,160 2018-11-11 No 4 M Direct
12,486 2018-11-11 No 4 M Direct
6,472 2019-11-09 No 4 M Direct
29,799 2019-11-09 No 4 M Direct
Footnotes
  1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2011.
  2. The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $21.63 to $21.92, inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commisson, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  3. The option award vests as to 3,840 shares on 11/11/09, and the remaining shares vest monthly thereafter from 12/11/09 to 11/11/12.
  4. The option award vests as to 13,660 shares on 11/11/09, and the remaining shares vest monthly thereafter from 12/11/09 to 11/11/12.
  5. The option award vests as to 3,128 shares on 11/09/10, and the remaining shares vest monthly thereafter from 12/09/10 to 11/09/12.
  6. 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 11/09/12.