0001209191-11-044530.txt : 20110816 0001209191-11-044530.hdr.sgml : 20110816 20110816213642 ACCESSION NUMBER: 0001209191-11-044530 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110815 FILED AS OF DATE: 20110816 DATE AS OF CHANGE: 20110816 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tuttle Anne S. CENTRAL INDEX KEY: 0001430594 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 111041233 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 X0304 4 2011-08-15 0 0001430592 Financial Engines, Inc. FNGN 0001430594 Tuttle Anne S. 1804 EMBARCADERO ROAD PALO ALTO CA 94303 0 1 0 0 EVP & General Counsel Common Stock 2011-08-15 2011-08-15 4 M 0 5000 7.50 A 20648 D Common Stock 2011-08-15 2011-08-15 4 S 0 5000 19.889 D 15648 D Employee Stock Options (Right to Buy) 7.50 2011-08-15 2011-08-15 4 M 0 5000 0.00 D 2016-03-24 Common Stock 5000 11667 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 17, 2010 The price reported in Col 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $19.16 to $20.295, 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. Joanne E. Burns, Attorney-in-Fact 2011-08-16