Filing Details

Accession Number:
0001209191-16-140471
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-07 19:39:47
Reporting Period:
2016-09-06
Filing Date:
2016-09-07
Accepted Time:
2016-09-07 19:39:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1430592 Financial Engines Inc. FNGN Investment Advice (6282) 943250323
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1486875 M. Lawrence Raffone 1050 Enterprise Way
3Rd Floor
Sunnyvale CA 94089
Ceo & 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 2016-09-06 7,683 $6.51 35,910 No 4 M Direct
Common Stock Disposition 2016-09-06 7,683 $32.06 28,227 No 4 S Direct
Common Stock Acquisiton 2016-09-07 2,317 $6.51 30,544 No 4 M Direct
Common Stock Disposition 2016-09-07 2,317 $32.00 28,227 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 2016-09-06 7,683 $0.00 7,683 $6.51
Common Stock Employee Stock Option (Right to Buy) Disposition 2016-09-07 2,317 $0.00 2,317 $6.51
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
71,957 2018-11-11 No 4 M Direct
69,640 2018-11-11 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 March 2, 2016.
  2. The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $32.00 to$32.46 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of theSecurities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth inthis footnote.
  3. The option award is fully vested.