Filing Details

Accession Number:
0001209191-14-026683
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-09 17:10:30
Reporting Period:
2014-04-08
Filing Date:
2014-04-09
Accepted Time:
2014-04-09 17:10:30
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
1486181 W. Garry Hallee 1050 Enterprise Way
3Rd Floor
Sunnyvale CA 94089
Evp, Technology & Svc Delivery 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 2014-04-08 10,000 $7.99 115,092 No 4 M Direct
Common Stock Disposition 2014-04-08 3,400 $45.75 111,692 No 4 S Direct
Common Stock Disposition 2014-04-08 6,600 $46.86 105,092 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S 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 2014-04-08 10,000 $0.00 10,000 $7.99
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,000 2019-11-18 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 15,000 Indirect The Hallee Living Trust
Footnotes
  1. The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on May 14, 2013.
  2. The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $45.27 to $46.26 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 price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $46.36 to $47.37 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.
  4. The option award is fully vested.