0001209191-16-138521.txt : 20160824 0001209191-16-138521.hdr.sgml : 20160824 20160824175630 ACCESSION NUMBER: 0001209191-16-138521 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160823 FILED AS OF DATE: 20160824 DATE AS OF CHANGE: 20160824 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: 408-498-6000 MAIL ADDRESS: STREET 1: 1050 ENTERPRISE WAY, 3RD FL CITY: SUNNYVALE STATE: CA ZIP: 94089 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Raffone Lawrence M. CENTRAL INDEX KEY: 0001486875 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 161850126 MAIL ADDRESS: STREET 1: 1050 ENTERPRISE WAY 3RD FLOOR CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-08-23 0 0001430592 Financial Engines, Inc. FNGN 0001486875 Raffone Lawrence M. 1050 ENTERPRISE WAY 3RD FLOOR SUNNYVALE CA 94089 1 1 0 0 CEO & President Common Stock 2016-08-23 2016-08-23 4 M 0 10000 6.51 A 38227 D Common Stock 2016-08-23 2016-08-23 4 S 0 10000 32.00 D 28227 D Employee Stock Option (Right to Buy) 6.51 2016-08-23 2016-08-23 4 M 0 10000 0.00 D 2018-11-11 Common Stock 10000 79640 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 2, 2016. The option award is fully vested. /s/ Jeffrey C. Grace, Attorney-in-Fact For: Lawrence M. Raffone 2016-08-24