0001209191-18-031130.txt : 20180517
0001209191-18-031130.hdr.sgml : 20180517
20180517175944
ACCESSION NUMBER: 0001209191-18-031130
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180515
FILED AS OF DATE: 20180517
DATE AS OF CHANGE: 20180517
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GRUNDFEST JOSEPH
CENTRAL INDEX KEY: 0001206103
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34636
FILM NUMBER: 18844440
MAIL ADDRESS:
STREET 1: STANFORD LAW SCHOOL
STREET 2: 559 NATHAN ABBOTT WAY
CITY: STANFORD
STATE: CA
ZIP: 94305
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
2018-05-15
0
0001430592
Financial Engines, Inc.
FNGN
0001206103
GRUNDFEST JOSEPH
1050 ENTERPRISE WAY
3RD FLOOR
SUNNYVALE
CA
94089
1
0
0
0
Common Stock
2018-05-15
4
M
0
6309
0.00
A
25035
D
Common Stock
160000
I
The Grundfest Living Trust U/T/A DD 8/25/97
Restricted Stock Units
0.00
2018-05-15
4
M
0
1224
0.00
D
Common Stock
1224
1224
D
Restricted Stock Units
0.00
2018-05-15
4
M
0
2517
0.00
D
Common Stock
2517
2517
D
Restricted Stock Units
0.00
2018-05-15
4
M
0
2568
0.00
D
Common Stock
2568
2567
D
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 three equal annual installments beginning 05/15/17.
The restricted stock units vest in two annual installments beginning 5/15/18.
/s/ Robert Mills, Attorney-in-Fact For: Joseph A. Grundfest
2018-05-17