0001209191-18-013351.txt : 20180226
0001209191-18-013351.hdr.sgml : 20180226
20180226162412
ACCESSION NUMBER: 0001209191-18-013351
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180222
FILED AS OF DATE: 20180226
DATE AS OF CHANGE: 20180226
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: 18640849
MAIL ADDRESS:
STREET 1: 1050 ENTERPRISE WAY 3RD FLOOR
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-02-22
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
2018-02-22
2018-02-22
4
M
0
5534
0.00
A
62289
D
Common Stock
2018-02-22
2018-02-22
4
F
0
1914
29.95
D
60375
D
Common Stock
2018-02-23
2018-02-23
4
S
0
14663
34.30
D
45712
D
Performance Stock Units
0.00
2018-02-22
2018-02-22
4
M
0
5534
0.00
D
Common Stock
5534
0
D
This number reflects the gross amount of shares (prior to any withholding by issuer to satisfy related tax obligations) issued to the reporting person upon settlement of performance stock unit awards granted pursuant to the 2013-2017 Long Term Incentive Plan ("LTIP") previously granted to the reporting person.
The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on May 19, 2017.
Each performance stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
The performance stock units vest upon the settlement of awards pursuant to the LTIP previously granted to the reporting person.
No expiration date.
/s/ Robert Mills, Attorney-in-Fact For: Christopher L. Jones
2018-02-26
EX-24.4_772280
2
poa.txt
POA DOCUMENT
LIMITED POWER OF ATTORNEY FOR
SECTION 16 REPORTING OBLIGATIONS
Know all by these presents that the undersigned hereby constitutes and appoints
each of Rob Mills, Stock Administration Manager, Lisa Isaacson, Sr. Director,
SEC Reporting and Craig L. Foster, CFO signing singly, the undersigned's true
and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of Financial Engines, Inc., a Delaware
corporation (the "Company"), Forms 3, 4, and 5 in accordance with Section 16(a)
of the Securities Exchange Act of 1934 and the rules thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to complete and execute any such Form 3, 4,
or 5, complete and execute any amendment or amendments thereto, and timely file
such form with the United States Securities and Exchange Commission and any
stock exchange or similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed effective as of Feb 23, 2018.
/s/Chris L. Jones
_____________________
Chris L. Jones