0001209191-15-044629.txt : 20150519 0001209191-15-044629.hdr.sgml : 20150519 20150519183339 ACCESSION NUMBER: 0001209191-15-044629 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150516 FILED AS OF DATE: 20150519 DATE AS OF CHANGE: 20150519 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: KOONTZ PAUL G CENTRAL INDEX KEY: 0001205496 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 15877761 MAIL ADDRESS: STREET 1: FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD STE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-05-16 0 0001430592 Financial Engines, Inc. FNGN 0001205496 KOONTZ PAUL G 1050 ENTERPRISE WAY 3RD FLOOR SUNNYVALE CA 94089 1 0 0 0 Common Stock 2015-05-16 2015-05-16 4 M 0 1250 0.00 A 5000 D Common Stock 6638 I By Paul Koontz 2010 Annuity Trust Common Stock 6638 I By Andrea Koontz 2010 Annuity Trust Common Stock 6000 I By Koontz Investments, LP Fund 3 Common Stock 8000 I By the Koontz Revocable Trust Dated 6/29/1998 Restricted Stock 0.00 2015-05-16 2015-05-16 4 A 0 1250 0.00 D Common Stock 1250 1250 D Shares held by Paul G. Koontz as Trustee of the Paul Koontz 2010 Annuity Trust. Spouse of Paul G. Koontz, Andrea Koontz is the Trustee of the Andrea Koontz 2010 Annuity Trust. Mr. Koontz disclaims beneficial ownership of the reported securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Shares held by Koontz Investments, LP Fund 3. Paul G. Koontz is a General Partner of Koontz Investments, LP Fund 3 and disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein. Shares held by Paul G. Koontz as Trustee of the Koontz Revocable Trust Dated 06/29/1998. Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. The Restricted Stock units vest in four equal annual installments beginning 5/16/13. No expiration date. /s/ Jeffrey C. Grace, Attorney-in-Fact For: Paul G. Koontz 2015-05-18