-----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, GDktg9W9+5iRsY8oWd1qxyC+wq4D/UDXdeUCeawYbDFTTmxa7BowMojuONQep/kP JsK2b4cH85USIIp3GHZqOQ== 0001209191-10-062854.txt : 20101229 0001209191-10-062854.hdr.sgml : 20101229 20101229171532 ACCESSION NUMBER: 0001209191-10-062854 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101228 FILED AS OF DATE: 20101229 DATE AS OF CHANGE: 20101229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Behrman Deborah J. CENTRAL INDEX KEY: 0001486162 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 101278951 MAIL ADDRESS: STREET 1: 1804 EMBARCADERO ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 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 doc4.xml FORM 4 SUBMISSION X0303 4 2010-12-28 0 0001430592 Financial Engines, Inc. FNGN 0001486162 Behrman Deborah J. 1804 EMBARCADERO ROAD PALO ALTO CA 94303 0 1 0 0 VP, Human Resources Common Stock 2010-12-28 2010-12-28 4 M 0 52696 8.50 A 70914 D Common Stock 2010-12-28 2010-12-28 4 S 0 52696 20.00 D 18218 D Common Stock 2010-12-28 2010-12-28 4 M 0 15155 6.51 A 33373 D Common Stock 2010-12-28 2010-12-28 4 S 0 15155 20.00 D 18218 D Common Stock 2010-12-28 2010-12-28 4 M 0 12149 7.99 A 30367 D Common Stock 2010-12-28 2010-12-28 4 S 0 12149 20.00 D 18218 D Employee Stock Option - Right to Buy 8.50 2010-12-28 2010-12-28 4 M 0 52696 0.00 D 2017-04-17 Common Stock 52696 10540 D Employee Stock Option - Right to Buy 6.51 2010-12-28 2010-12-28 4 M 0 15155 0.00 D 2018-11-11 Common Stock 15155 19485 D Employee Stock Option - Right to Buy 7.99 2010-12-28 2010-12-28 4 M 0 12149 0.00 D 2019-11-09 Common Stock 12149 50336 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2010. The option award vests as to 15,621 shares on 11/9/10, and the remaining shares vest monthly thereafter from 11/09/10 to 11/09/13. Joanne E. Burns, Attorney-in-Fact 2010-12-29 -----END PRIVACY-ENHANCED MESSAGE-----