0001209191-13-022599.txt : 20130425 0001209191-13-022599.hdr.sgml : 20130425 20130425181404 ACCESSION NUMBER: 0001209191-13-022599 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130423 FILED AS OF DATE: 20130425 DATE AS OF CHANGE: 20130425 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gamble Paul CENTRAL INDEX KEY: 0001561873 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34636 FILM NUMBER: 13784199 MAIL ADDRESS: STREET 1: 1050 ENTERPRISE WAY, 3RD FLOOR CITY: SUNNYVALE STATE: CA ZIP: 94089 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: 408-498-6900 MAIL ADDRESS: STREET 1: 1050 ENTERPRISE WAY, 3RD FL CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-04-23 0 0001430592 Financial Engines, Inc. FNGN 0001561873 Gamble Paul 1050 ENTERPRISE WAY, 3RD FLOOR SUNNYVALE CA 94089 0 1 0 0 EVP, Distrib & Inst Services Common Stock 2013-04-23 2013-04-23 4 M 0 2162 6.51 A 21914 D Common Stock 2013-04-23 2013-04-23 4 S 0 2162 35.0945 D 19752 D Employee Stock Option (Right to Buy) 6.51 2013-04-23 2013-04-23 4 M 0 2162 0.00 D 2018-11-11 Common Stock 2162 0 D The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $34.72 to $35.38, inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commisson, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The sale reported in this Form 4 was effected persuant to a 10b5-1 trading plan adopted by the reporting person on November 16, 2012. The option award is fully vested. Joanne Burns, Attorney-in-Fact 2013-04-25