Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-14-064362
Date:2014-10-21
Issuer: FINANCIAL ENGINES, INC. (FNGN)
Original Submission Date:

Reporting Person:

MAGGIONCALDA JEFFREY NACEY
1050 ENTERPRISE WAY
3RD FLOOR SUNNYVALE, CA 94089

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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