Accession Number: | 0001209191-14-064362 |
Date: | 2014-10-21 |
Issuer: | FINANCIAL ENGINES, INC. (FNGN) |
Original Submission Date: |
MAGGIONCALDA JEFFREY NACEY
1050 ENTERPRISE WAY
3RD FLOOR
SUNNYVALE, CA 94089
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-10-21 | M | 15,000 | a | $7.99 | 214,427 | direct | ||
COMMON STOCK | 2014-10-21 | S | 15,000 | d | $35.64 | 199,427 | indirect | ||
COMMON STOCK | 2014-10-21 | 0 | $0.00 | 10,000 | indirect | ||||
COMMON STOCK | 2014-10-21 | 0 | $0.00 | 10,000 | indirect | ||||
COMMON STOCK | 2014-10-21 | 0 | $0.00 | 10,000 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 7.99 | 2014-10-21 | deemed execution date | M | 15,000 (d) | 2019-11-09 | common stock 15,000 | $7.99 | 17,485 | direct |
ID | footnote |
---|---|
f1 | the sale reported in this form 4 was effected persuant to a 10b5-1 trading plan adopted by the reporting person on november 13, 2013. |
f2 | the price reported in col 4 is a weighted average sale price. these shares were sold in multiple transactions at prices ranging from $34.18 to $36.00 inclusive. the reporting person undertakes to provide, upon request, financial engines, inc., any shareholder thereof, or the staff of the securities and exchange commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
f3 | the option award is fully vested. |