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