0001209191-15-046880.txt : 20150526
0001209191-15-046880.hdr.sgml : 20150525
20150526181508
ACCESSION NUMBER: 0001209191-15-046880
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150521
FILED AS OF DATE: 20150526
DATE AS OF CHANGE: 20150526
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: 15890562
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
2015-05-21
0
0001430592
Financial Engines, Inc.
FNGN
0001205496
KOONTZ PAUL G
1050 ENTERPRISE WAY
3RD FLOOR
SUNNYVALE
CA
94089
1
0
0
0
Common Stock
2015-05-21
2015-05-21
4
M
0
1254
0.00
A
6254
D
Common Stock
2015-05-22
2015-05-22
4
M
0
1250
0.00
A
7504
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 Units
0.00
2015-05-22
2015-05-22
4
M
0
1250
0.00
D
Common Stock
1250
2500
D
Restricted Stock Units
0.00
2015-05-21
2015-05-21
4
M
0
1254
0.00
D
Common Stock
1254
3764
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 annually beginning 5/22/14.
No expiration date.
The Restricted Stock units vest in four equal installments annually beginning 5/21/15.
/s/ Jeffrey C. Grace, Attorney-in-Fact For: Paul G. Koontz
2015-05-26