0001209191-13-005108.txt : 20130129 0001209191-13-005108.hdr.sgml : 20130129 20130129203649 ACCESSION NUMBER: 0001209191-13-005108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130129 FILED AS OF DATE: 20130129 DATE AS OF CHANGE: 20130129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cappel Anne Tuttle CENTRAL INDEX KEY: 0001430594 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 13556804 MAIL ADDRESS: STREET 1: 1050 ENTERPRISE WAY STREET 2: THIRD FLOOR CITY: SUNNYVALE STATE: CA ZIP: 94089 FORMER NAME: FORMER CONFORMED NAME: Tuttle Anne S. DATE OF NAME CHANGE: 20080325 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: 408-498-6900 MAIL ADDRESS: STREET 1: 1050 ENTERPRISE WAY, 3RD FL CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-01-29 0 0001430592 Financial Engines, Inc. FNGN 0001430594 Cappel Anne Tuttle 1050 ENTERPRISE WAY 3RD FLOOR SUNNYVALE CA 94089 0 1 0 0 EVP & General Counsel Common Stock 2013-01-29 2013-01-29 4 M 0 11667 7.50 A 27945 D Common Stock 2013-01-29 2013-01-29 4 S 0 11667 33.40 D 16278 D Employee Stock Option (Right to Buy) 7.50 2013-01-29 2013-01-29 4 M 0 11667 0.00 D 2016-03-24 Common Stock 11667 0 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 14, 2012. The option award is fully vested. Joanne E. Burns, Attorney-in-Fact 2013-01-29