0001209191-15-045508.txt : 20150521
0001209191-15-045508.hdr.sgml : 20150521
20150521175648
ACCESSION NUMBER: 0001209191-15-045508
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150520
FILED AS OF DATE: 20150521
DATE AS OF CHANGE: 20150521
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: 15883929
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
2015-05-20
0
0001430592
Financial Engines, Inc.
FNGN
0001205496
KOONTZ PAUL G
1050 ENTERPRISE WAY
3RD FLOOR
SUNNYVALE
CA
94089
1
0
0
0
Common Stock
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
2015-05-20
2015-05-20
4
A
0
4894
0.00
A
Common Stock
4894
4894
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 installments beginning 5/15/16.
No expiration date.
/s/ Jeffrey C. Grace, Attorney-in-Fact For: Paul G. Koontz
2015-05-21