0001209191-13-006760.txt : 20130206 0001209191-13-006760.hdr.sgml : 20130206 20130206140723 ACCESSION NUMBER: 0001209191-13-006760 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130205 FILED AS OF DATE: 20130206 DATE AS OF CHANGE: 20130206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jones Christopher L. CENTRAL INDEX KEY: 0001486178 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 13577259 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: 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 2013-02-05 0 0001430592 Financial Engines, Inc. FNGN 0001486178 Jones Christopher L. 1050 ENTERPRISE WAY 3RD FLOOR SUNNYVALE CA 94089 0 1 0 0 EVP & Chief Investment Officer Common Stock 2013-02-05 2013-02-05 4 M 0 4000 6.51 A 130562 D Common Stock 2013-02-05 2013-02-05 4 S 0 4000 33.1434 D 126562 D Employee Stock Option (Right to Buy) 6.51 2013-02-05 2013-02-05 4 M 0 4000 0.00 D 2018-11-11 Common Stock 4000 29519 D The sale reported in this Form 4 was effected persuant to a 10b5-1 trading plan adopted by the reporting person on November 14, 2012. The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $32.82 to $33.74, inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commisson, 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 2013-02-06