Filing Details

Accession Number:
0001209191-17-029724
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-03 17:15:02
Reporting Period:
2017-05-01
Filing Date:
2017-05-03
Accepted Time:
2017-05-03 17:15:02
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
1430593 J. Raymond Sims 1050 Enterprise Way
3Rd Floor
Sunnyvale CA 94089
Evp & Cfo 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 2017-05-01 15,459 $26.43 26,358 No 4 M Direct
Common Stock Disposition 2017-05-01 15,549 $42.55 10,899 No 4 S Direct
Common Stock Acquisiton 2017-05-02 9,100 $26.22 19,999 No 4 M Direct
Common Stock Disposition 2017-05-02 9,100 $42.51 10,899 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 2017-05-01 15,459 $0.00 15,459 $26.43
Common Stock Employee Stock Option (Right to Buy) Disposition 2017-05-02 9,100 $0.00 9,100 $26.22
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
37,545 2026-05-20 No 4 M Direct
0 2022-11-16 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 February 28, 2017
  2. The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $42.20 to $42.70 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.
  3. The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $42.25 to $43.25 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 vests as to 13,251 shares on 2/26/17, and the remaining shares vest monthly thereafter from 3/26/17 to 2/26/20.
  5. The option award is fully vested.