0001209191-16-153018.txt : 20161202
0001209191-16-153018.hdr.sgml : 20161202
20161202162359
ACCESSION NUMBER: 0001209191-16-153018
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161201
FILED AS OF DATE: 20161202
DATE AS OF CHANGE: 20161202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Financial Engines, Inc.
CENTRAL INDEX KEY: 0001430592
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 943250323
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1050 ENTERPRISE WAY, 3RD FL
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
BUSINESS PHONE: 408-498-6000
MAIL ADDRESS:
STREET 1: 1050 ENTERPRISE WAY, 3RD FL
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Raffone Lawrence M.
CENTRAL INDEX KEY: 0001486875
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34636
FILM NUMBER: 162031451
MAIL ADDRESS:
STREET 1: 1050 ENTERPRISE WAY 3RD FLOOR
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-12-01
0
0001430592
Financial Engines, Inc.
FNGN
0001486875
Raffone Lawrence M.
1050 ENTERPRISE WAY
3RD FLOOR
SUNNYVALE
CA
94089
1
1
0
0
CEO & President
Common Stock
2016-12-01
4
M
0
10000
6.51
A
44218
D
Common Stock
2016-12-01
4
S
0
10000
35.038
D
34218
D
Employee Stock Option (Right to Buy)
6.51
2016-12-01
4
M
0
10000
0.00
D
2018-11-11
Common Stock
10000
49640
D
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 10, 2016.
The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $35.00 to
$35.10 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.
The option award is fully vested.
/s/ Jeffrey C. Grace, Attorney-in-Fact For: Lawrence M. Raffone
2016-12-02