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