Financial Engines Inc (FNGN)

Sector:
FINANCE
Industry:
CORPORATE FINANCE
SIC:
CEO:
Lawrence Michael Raffone
Employees:
900
1050 ENTERPRISE WAY, 3RD FL, SUNNYVALE, CA 94089
408-498-6000

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Financial Engines, Inc. engages in the provision of technology-enabled portfolio management services, investment advice, and retirement income services. Its services include professional management, online advice, retirement evaluation, and Expand Beyond Workplace Defined Contribution Plans. The company was founded by William F. Sharpe, Joseph A. Grundfest, and Craig W. Johnson on May 13, 1996 and is headquartered in Sunnyvale, CA.

Data derived from most recent annual or quarterly report
Market Cap 2.857 Billion Shares Outstanding63.55 Million Avg 30-day Volume 330.375 Thousand
P/E Ratio43.7058 Dividend Yield0.8301 EPS0.28
Price to Revenue4.5613 Debt to Equity0.0409 EBITDA126.992 Million
Price to Book Value2.5962 Operating Margin0.0 Enterprise Value2.117 Billion
Current Ratio EPS Growth0.317 Quick Ratio
1 Yr BETA 0.8495 52-week High/Low 0.0 / Profit Margin10.4364
Operating Cash Flow Growth47.6887 Altman Z-Score Free Cash Flow to Firm -14.63 Million
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Funds Holding FNGN (via 13F filings)

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Recent Filings

Financial Reporting

Ownership

  • 4: filed on 2018-07-23 by RAFFONE LAWRENCE M.
  • 4: filed on 2018-07-23 by O'DONNELL KELLY
  • 4: filed on 2018-07-23 by JONES CHRISTOPHER L.
  • 4: filed on 2018-07-23 by BUNCH JOHN
  • 4: filed on 2018-07-23 by FOSTER CRAIG L
  • 4: filed on 2018-07-23 by CRUSE GINA M
  • 4: filed on 2018-07-23 by ANTONE LEWIS JR
  • 4: filed on 2018-07-23 by GRUNDFEST JOSEPH
  • 4: filed on 2018-07-23 by BERG-LACY E. OLENA
  • 4: filed on 2018-07-23 by YOFFIE DAVID B

    • Events (8k)

  • 8-K: filed on 2018-05-24:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2018-05-09:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2018-05-02:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2018-04-30:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2017-12-20:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 7.01: Regulation FD Disclosure
  • 8-K: filed on 2017-08-22:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2017-08-16:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2017-08-10:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2017-08-08:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K/A: filed on 2017-05-26:
    Item 5.07: Submission of Matters to a Vote of Security Holders

    • Proposed Sales (Form 144)

    Proxy

    Prospectus

    All

    Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    none

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    FIELDS HEIDI

    • Director
    		 No longer subject to file 2018-07-19 0

    SHOVEN JOHN B

    • Director
    		 No longer subject to file 2018-07-19 0

    YOFFIE DAVID B

    • Director
    		 No longer subject to file 2018-07-19 0

    HURET ROBERT A

    • Director
    		 No longer subject to file 2018-07-19 0

    GRUNDFEST JOSEPH

    • Director
    		 No longer subject to file 2018-07-19 0

    MARTIN MICHAEL E.

    • Director
    		 No longer subject to file 2018-07-19 0

    BUNCH JOHN EVP, COO & PRES FE ADVISORS

    • Officer
    		 No longer subject to file 2018-07-19 0

    GROSSMAN BLAKE R.

    • Director
    		 No longer subject to file 2018-07-19 0

    JONES CHRISTOPHER L. EVP & CHIEF INVESTMENT OFFICER

    • Officer
    		 No longer subject to file 2018-07-19 0

    RAFFONE LAWRENCE M. PRESIDENT & CEO

    • Officer
    • Director
    		 No longer subject to file 2018-07-19 0

    BERG-LACY E. OLENA

    • Director
    		 No longer subject to file 2018-07-19 0

    O'DONNELL KELLY EVP, CAO & CRO

    • Officer
    		 No longer subject to file 2018-07-19 0

    FOSTER CRAIG L EVP & CFO

    • Officer
    		 No longer subject to file 2018-07-19 0

    CRUSE GINA M EVP, HUMAN RESOURCES

    • Officer
    		 No longer subject to file 2018-07-19 0

    ANTONE LEWIS JR EVP, GENERAL COUNSEL AND SEC.

    • Officer
    		 No longer subject to file 2018-07-19 0

    GRACE JEFFREY C

    • PRINCIPAL ACCOUNTING OFFICER
    		 3,919 2017-11-11 0

    CAMPBELL MICHAEL JEROME EVP, PRODUCT & TECHNOLOGY

    • Officer
    		 No longer subject to file 2017-11-11 0

    WARBURG PINCUS PRIVATE EQUITY X, L.P.

    WARBURG PINCUS X PARTNERS, L.P.

    WARBURG PINCUS X, L.P.

    WARBURG PINCUS X GP L.P.

    WPP GP LLC

    WARBURG PINCUS PARTNERS, L.P.

    WARBURG PINCUS PARTNERS GP LLC

    WARBURG PINCUS & CO.

    KAYE CHARLES R

    LANDY JOSEPH P.

    • Director
    • SEE FOOTNOTES (1)(2)(3)(4)SEE FOOTNOTES (1)(2)(3)(4)
    		 No longer subject to file 2017-08-22 0

    WARBURG PINCUS LLC

    • SEE FOOTNOTES (1)(2)(3)(4)
    		 No longer subject to file 2017-08-22 0

    SIMS RAYMOND J. EVP & CFO

    • Officer
    		 1,759 2017-05-10 0

    CHEONG CHUNG MENG EVP, PRODUCT & CONSUMER MKTG

    • Officer
    		 0 2016-12-08 0

    GAMBLE PAUL EVP, DISTRIB & INST SERVICES

    • Officer
    		 13,909 2016-11-23 0

    KOONTZ PAUL G

    • Director
    		 No longer subject to file 2016-05-15 0

    CAPPEL ANNE TUTTLE EVP, GENERAL COUNSEL

    • Officer
    		 12,061 2016-02-26 0

    COSTELLO MARK PETER EVP, SERVICE DELIVERY

    • Officer
    		 10,234 2016-02-18 0

    MAGGIONCALDA JEFFREY NACEY CEO

    • Officer
    • Director
    		 232,403 2014-12-30 0

    SHARP MARY LEE EVP HUMAN RESOURCES

    • Officer
    		 No longer subject to file 2014-05-23 0

    HALLEE GARRY W. EVP, TECHNOLOGY & SVC DELIVERY

    • Officer
    		 120,092 2014-04-22 0

    BOWER JUNE EVP MARKETING

    • Officer
    		 0 2012-11-16 0

    BEHRMAN DEBORAH J. VP, HUMAN RESOURCES

    • Officer
    		 30,121 2011-12-27 0

    FINE KENNETH M. EVP, MARKETING

    • Officer
    		 52,340 2011-07-21 0

    WOLFSON MARK A

    • Director
    		 0 2011-05-12 0

    KRAMLICH C RICHARD

    • Director
    		 841,412 2010-11-16 0

    FOUNDATION CAPITAL MANAGEMENT CO LLC

    FOUNDATION CAPITAL LP

    FOUNDATION CAPITAL LEADERSHIP FUND LP

    FC LEADERSHIP MANAGEMENT CO LLC

    FOUNDATION CAPITAL LEADERSHIP PRINCIPALS FUND LLC

    FOUNDATION CAPITAL ENTREPRENEURS FUND, LLC

    • 10% Owner
    		 No longer subject to file 2010-11-10 0

    ELMORE WILLIAM B

    • 10% Owner
    		 No longer subject to file 2010-11-10 0

    GROSSER ADAM

    • 10% Owner
    		 No longer subject to file 2010-11-10 0

    SCHUH MICHAEL N

    • 10% Owner
    		 No longer subject to file 2010-11-10 0

    GOULD KATHRYN C

    • 10% Owner
    		 No longer subject to file 2010-11-10 0

    ANDERSON JAMES C

    • 10% Owner
    		 No longer subject to file 2010-11-10 0

    NEWHALL CHARLES W III

    • 10% Owner
    		 No longer subject to file 2010-08-30 0

    NEHRA JOHN M

    • 10% Owner
    		 No longer subject to file 2010-08-30 0

    BARRIS PETER J

    • 10% Owner
    		 No longer subject to file 2010-08-30 0

    PERRY MARK W

    • 10% Owner
    		 No longer subject to file 2010-08-30 0

    NEW ENTERPRISE ASSOCIATES VII LP

    NEA PARTNERS VII LP

    • 10% Owner
    		 No longer subject to file 2010-08-30 0

    FOUNDATION CAPITAL MANAGEMENT CO LLC

    FOUNDATION CAPITAL LP

    FOUNDATION CAPITAL LEADERSHIP FUND LP

    FC LEADERSHIP MANAGEMENT CO LLC

    FOUNDATION CAPITAL LEADERSHIP PRINCIPALS FUND LLC

    • 10% Owner
    		 5,194,688 2010-08-27 0

    ELMORE WILLIAM B

    SCHUH MICHAEL N

    GOULD KATHRYN C

    ANDERSON JAMES C

    GROSSER ADAM

    • 10% Owner
    		 5,744,688 2010-03-19 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed    		 Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
    No current insider transactions

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

    No recent transactions

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