0001209191-16-121048.txt : 20160517
0001209191-16-121048.hdr.sgml : 20160517
20160517193122
ACCESSION NUMBER: 0001209191-16-121048
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160515
FILED AS OF DATE: 20160517
DATE AS OF CHANGE: 20160517
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: 161659073
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
2016-05-15
1
0001430592
Financial Engines, Inc.
FNGN
0001205496
KOONTZ PAUL G
1050 ENTERPRISE WAY
3RD FLOOR
SUNNYVALE
CA
94089
1
0
0
0
Common Stock
2016-05-15
2016-05-15
4
M
0
1223
0.00
A
8727
D
Common Stock
2016-05-16
2016-05-16
4
M
0
1250
0.00
A
9977
D
Common Stock
6000
I
By Koontz Investments, LP Fund 3
Common Stock
8000
I
By the Koontz Revocable Trust Dated 6/29/1998
Common Stock
13276
I
Koontz Investments, LP Fund 2
Restricted Stock
0.00
2016-05-15
2016-05-15
4
M
0
1223
0.00
D
Common Stock
1223
3671
D
Restricted Stock
0.00
2016-05-16
2016-05-16
4
M
0
1250
0.00
D
Common Stock
1250
0
D
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.
The Restricted Stock units vest in four equal annual installments beginning 5/16/13.
/s/ Jeffrey C. Grace, Attorney-in-Fact For: Paul G. Koontz
2016-05-17