0001209191-13-016821.txt : 20130315 0001209191-13-016821.hdr.sgml : 20130315 20130315144055 ACCESSION NUMBER: 0001209191-13-016821 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130314 FILED AS OF DATE: 20130315 DATE AS OF CHANGE: 20130315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maggioncalda Jeffrey Nacey CENTRAL INDEX KEY: 0001485593 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 13693558 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 2013-03-14 0 0001430592 Financial Engines, Inc. FNGN 0001485593 Maggioncalda Jeffrey Nacey 1050 ENTERPRISE WAY 3RD FLOOR SUNNYVALE CA 94089 1 1 0 0 CEO Common Stock 2013-03-14 2013-03-14 4 M 0 15000 7.50 A 160555 I The Maggioncalda Family Trust Common Stock 2013-03-14 2013-03-14 4 S 0 15000 33.8542 D 145555 I The Maggioncalda Family Trust Common Stock 2013-03-14 2013-03-14 4 M 0 10000 7.50 A 155555 I The Maggioncalda Family Trust Common Stock 20000 I By Child Common Stock 20000 I By Child Common Stock 20000 I By Child Employee Stock Option (Right to Buy) 7.50 2013-03-14 2013-03-14 4 M 0 15000 0.00 D 2016-09-19 Common Stock 15000 328454 D Employee Stock Option (Right to Buy) 7.50 2013-03-14 2013-03-14 4 M 0 10000 0.00 D 2016-09-19 Common Stock 10000 318454 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 12, 2012. The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $33.75 to $34.06 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 reporting person no longer claims beneficial ownership in the 20,000 shares owned by his daughter and included in prior ownership reports, for Section 16 or any other purpose. The option award is fully vested. The option award is fully vested. Joanne E. Burns, Attorney-in-Fact 2013-03-15