Filing Details
- Accession Number:
- 0001209191-11-055919
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-14 19:55:17
- Reporting Period:
- 2011-11-11
- Filing Date:
- 2011-11-14
- Accepted Time:
- 2011-11-14 19:55:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1430592 | Financial Engines Inc. | FNGN | Investment Advice (6282) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1486162 | J. Deborah Behrman | 1804 Embarcadero Road Palo Alto CA 94303 | Vp, Human Resources | 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 | 2011-11-11 | 7,000 | $6.51 | 30,409 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-11 | 7,000 | $22.55 | 23,409 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-11-11 | 14,000 | $7.99 | 37,409 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-11 | 14,000 | $22.55 | 23,409 | 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 | 2011-11-11 | 7,000 | $0.00 | 7,000 | $6.51 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-11-11 | 14,000 | $0.00 | 14,000 | $7.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,544 | 2018-11-11 | No | 4 | M | Direct | |
| 32,052 | 2019-11-09 | No | 4 | M | Direct |
Footnotes
- The price reported in Col 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $22.47 to $22.68 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or staff of the Securities and Exchange Commission, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- The option award vests as to 8,660 shares on 11/11/09, and the remaining shares vest monthly thereafter from 12/11/09 to 11/11/12.
- The option award vests as to 15,621 shares on 11/09/10, and the remaining shares vest monthly thereafter from 12/09/10 to 11/09/12.
Billionaire Hedge Funds
