Filing Details
- Accession Number:
- 0001209191-16-149876
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 17:57:45
- Reporting Period:
- 2016-11-10
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 17:57:45
- 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 | 2016-11-10 | 10,000 | $6.51 | 38,227 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-10 | 10,000 | $30.00 | 28,227 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-11 | 8,352 | $0.00 | 36,579 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-11 | 3,938 | $30.75 | 32,641 | No | 4 | F | 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 | F | 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 | 2016-11-10 | 10,000 | $0.00 | 10,000 | $6.51 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-11 | 8,352 | $0.00 | 8,352 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 59,640 | 2018-11-11 | No | 4 | M | Direct | |
| 16,704 | 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 August 10, 2016.
- The option award is fully vested.
- Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- The restricted stock units vest in four annual installments beginning 11/11/15.
- No Expiration date.
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