-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ERcuvDD4p6Xo2q9ZUGNoCBeqEh+GJE4V6UvwGjYsog1F0rUuK/+fYZ2L13KBDQi+ Gu9aF/k1p+9j3AcW7AFJjQ== 0001181431-10-017808.txt : 20100323 0001181431-10-017808.hdr.sgml : 20100323 20100323145026 ACCESSION NUMBER: 0001181431-10-017808 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100319 FILED AS OF DATE: 20100323 DATE AS OF CHANGE: 20100323 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERRY MARK W CENTRAL INDEX KEY: 0001062466 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 10698936 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Financial Engines, Inc. CENTRAL INDEX KEY: 0001430592 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1804 EMBARCADERO ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 650-565-4900 MAIL ADDRESS: STREET 1: 1804 EMBARCADERO ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 rrd269756.xml X0303 4 2010-03-19 0 0001430592 Financial Engines, Inc. FNGN 0001062466 PERRY MARK W 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 Common Stock 2010-03-19 4 C 0 3120744 A 4068257 I See Note 2 Common Stock 2010-03-19 4 J 0 6635 A 4074892 I See Note 2 Common Stock 2010-03-19 4 C 0 33333 A 624000 I See Note 3 Common Stock 2010-03-19 4 C 0 49093 A 49093 I See Note 5 Series A Preferred Stock 2010-03-19 4 C 0 33333 0 D Common Stock 33333 0 I See Note 3 Series B Preferred Stock 2010-03-19 4 C 0 1157964 0 D Common Stock 1157964 0 I See Note 2 Series B Preferred Stock 2010-03-19 4 C 0 40069 0 D Common Stock 40069 0 I See Note 5 Series C Preferred Stock 2010-03-19 4 C 0 395899 0 D Common Stock 395899 0 I See Note 2 Series D Preferred Stock 2010-03-19 4 C 0 532426 0 D Common Stock 532426 0 I See Note 2 Series D Preferred Stock 2010-03-19 4 C 0 9024 0 D Common Stock 9024 0 I See Note 5 Series E Preferred Stock 2010-03-19 4 C 0 109026 0 D Common Stock 109026 0 I See Note 2 Series F Preferred Stock 2010-03-19 4 C 0 925429 0 D Common Stock 925429 0 I See Note 2 Each share of the Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into the issuer's Common Stock on a one for one basis upon the closing of the issuer's initial public offering on March 19, 2010 and had no expiration date. The Reporting Person is a general partner of NEA Partners VII, Limited Partnership, the sole general partner of New Enterprise Associates VII, Limited Partnership ("New Enterprise Associates VII"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "1934 Act"), or otherwise of the securities of the issuer held by New Enterprise Associates VII in which the Reporting Person has no pecuniary interest therein. The Reporting Person is a general partner of NEA Partners 9, Limited Partnership, the sole general partner of New Enterprise Associates 9, Limited Partnership ("NEA 9"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act or otherwise of the securities of the issuer held by NEA 9 in which the Reporting Person has no pecuniary interest therein. New Enterprise Associates VII received an additional 6,635 shares of the issuer's Common Stock in connection with the conversion, on a one for one basis, of shares of Series E Preferred Stock. The Reporting Person is a general partner of NEA General Partners, L.P., the sole general partner of NEA Presidents' Fund, L.P. ("NEA Presidents' Fund"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act or otherwise of the securities of the issuer held by NEA Presidents' Fund in which the Reporting Person has no pecuniary interest therein. /s/ Shawn Conway, attorney-in-fact 2010-03-23 -----END PRIVACY-ENHANCED MESSAGE-----