Filing Details

Accession Number:
0001181431-13-030775
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-05-24 17:46:50
Reporting Period:
2013-05-22
Filing Date:
2013-05-24
Accepted Time:
2013-05-24 17:46:50
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
1205496 G Paul Koontz C/O Foundation Capital
250 Middlefield Road
Menlo Park CA 94025
Yes No 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 Disposition 2013-05-23 10,150 $42.74 15,850 No 4 S Indirect By Koontz Investments, LP Fund 3
Common Stock Disposition 2013-05-23 5,000 $42.80 6,638 No 4 S Indirect By Paul Koontz 2010 Annuity Trust
Common Stock Disposition 2013-05-23 5,000 $42.91 6,638 No 4 S Indirect By Andrea Koontz 2010 Annuity Trust
Common Stock Disposition 2013-05-24 9,850 $42.33 6,000 No 4 S Indirect By Koontz Investments, LP Fund 3
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Koontz Investments, LP Fund 3
No 4 S Indirect By Paul Koontz 2010 Annuity Trust
No 4 S Indirect By Andrea Koontz 2010 Annuity Trust
No 4 S Indirect By Koontz Investments, LP Fund 3
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Unit Acquisiton 2013-05-22 5,000 $0.00 5,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,000 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 8,000 Indirect By The Koontz Revocable Trust Dated 06/29/1998
Common Stock 1,250 Direct
Footnotes
  1. Shares held by Koontz Investments, LP Fund 3. Paul G. Koontz is a General Partner of Koontz Investments, LP Fund 3 and disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein.
  2. Shares held by Paul G. Koontz as Trustee of the Koontz Revocable Trust Dated 06/29/1998.
  3. Shares held by Paul G. Koontz as the Trustee of the Paul Koontz 2010 Annuity Trust.
  4. Spouse of Paul G. Koontz, Andrea Koontz is the Trustee of the Andrea Koontz 2010 Annuity Trust. Mr. Koontz disclaims beneficial ownership of the reported securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
  5. Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
  6. The Restricted Stock units vest in four equal annual installments beginning 5/22/2013.
  7. On 5/23/2013, Paul G. Koontz, as General Partner of Koontz Investments, LP Fund 3, sold 10,150 shares of stock.
  8. On 5/23/2013, Paul G. Koontz, Trustee of the Paul Koontz 2010 Annuity Trust, sold 5,000 shares of stock.
  9. On 5/23/2013, spouse of Paul G. Koontz, Andrea Koontz, Trustee of the Andrea Koontz 2010 Annuity Trust, sold 5,000 shares of stock.
  10. On 5/24/2013, Paul G. Koontz, as General Partner of Koontz Investments, LP Fund 3, sold 9,850 shares of stock.