Home/Filings/4/0001181431-10-017417

4//SEC Filing

FOUNDATION CAPITAL LP 4

Accession 0001181431-10-017417

CIK 0001430592other

View on SEC.gov Company Profile

Filed

Mar 18, 8:00 PM ET

Accepted

Mar 19, 2:47 PM ET

Size

60.0 KB

Accession

0001181431-10-017417

Insider Transaction Report

Form 4

Period: 2010-03-19

Financial Engines, Inc.FNGN

FOUNDATION CAPITAL MANAGEMENT CO LLC

10% Owner

Transactions

Other
Common Stock
2010-03-19+716→ 279,690 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+1,442,447→ 1,442,447 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+487,305→ 2,404,832 total(indirect: By Foundation)
Conversion
Series D Preferred Stock
2010-03-19−54,145→ 0 total(indirect: By LLC)
→ Common Stock (54,145 underlying)
Conversion
Series D Preferred Stock
2010-03-19−487,305→ 0 total(indirect: By Foundation)
→ Common Stock (487,305 underlying)
Conversion
Series E Preferred Stock
2010-03-19−105,924→ 0 total(indirect: By Foundation)
→ Common Stock (105,924 underlying)
Conversion
Series F Preferred Stock
2010-03-19−1,198,503→ 0 total(indirect: By Foundation)
→ Common Stock (1,198,503 underlying)
Conversion
Common Stock
2010-03-19+32,467→ 1,672,729 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+160,271→ 160,271 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+866→ 44,604 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+31,959→ 76,563 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+52,787→ 213,058 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+105,924→ 2,510,756 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−32,467→ 0 total(indirect: By Foundation)
→ Common Stock (32,467 underlying)
Conversion
Series A Preferred Stock
2010-03-19−866→ 0 total(indirect: By LLC)
→ Common Stock (866 underlying)
Conversion
Series C Preferred Stock
2010-03-19−52,787→ 0 total(indirect: By LLC)
→ Common Stock (52,787 underlying)
Conversion
Common Stock
2010-03-19+11,771→ 278,974 total(indirect: By LLC)
Conversion
Series C Preferred Stock
2010-03-19−475,080→ 0 total(indirect: By Foundation)
→ Common Stock (475,080 underlying)
Conversion
Common Stock
2010-03-19+1,198,503→ 2,871,232 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+54,145→ 267,203 total(indirect: By LLC)
Conversion
Series B Preferred Stock
2010-03-19−160,271→ 0 total(indirect: By LLC)
→ Common Stock (160,271 underlying)
Conversion
Common Stock
2010-03-19+475,080→ 1,917,527 total(indirect: By Foundation)
Other
Common Stock
2010-03-19+6,447→ 2,517,203 total(indirect: By Foundation)
Conversion
Series B Preferred Stock
2010-03-19−1,442,447→ 0 total(indirect: By Foundation)
→ Common Stock (1,442,447 underlying)
Conversion
Series E Preferred Stock
2010-03-19−11,771→ 0 total(indirect: By LLC)
→ Common Stock (11,771 underlying)
Conversion
Series F Preferred Stock
2010-03-19−31,959→ 0 total(indirect: By LLC)
→ Common Stock (31,959 underlying)

Foundation Capital Entrepreneurs Fund, LLC

10% Owner

Transactions

Conversion
Common Stock
2010-03-19+487,305→ 2,404,832 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+160,271→ 160,271 total(indirect: By LLC)
Other
Common Stock
2010-03-19+716→ 279,690 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+32,467→ 1,672,729 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+54,145→ 267,203 total(indirect: By LLC)
Other
Common Stock
2010-03-19+6,447→ 2,517,203 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−866→ 0 total(indirect: By LLC)
→ Common Stock (866 underlying)
Conversion
Series B Preferred Stock
2010-03-19−1,442,447→ 0 total(indirect: By Foundation)
→ Common Stock (1,442,447 underlying)
Conversion
Series E Preferred Stock
2010-03-19−11,771→ 0 total(indirect: By LLC)
→ Common Stock (11,771 underlying)
Conversion
Common Stock
2010-03-19+1,198,503→ 2,871,232 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+866→ 44,604 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+31,959→ 76,563 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+52,787→ 213,058 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+11,771→ 278,974 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+1,442,447→ 1,442,447 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+475,080→ 1,917,527 total(indirect: By Foundation)
Conversion
Series B Preferred Stock
2010-03-19−160,271→ 0 total(indirect: By LLC)
→ Common Stock (160,271 underlying)
Conversion
Series C Preferred Stock
2010-03-19−52,787→ 0 total(indirect: By LLC)
→ Common Stock (52,787 underlying)
Conversion
Series C Preferred Stock
2010-03-19−475,080→ 0 total(indirect: By Foundation)
→ Common Stock (475,080 underlying)
Conversion
Series E Preferred Stock
2010-03-19−105,924→ 0 total(indirect: By Foundation)
→ Common Stock (105,924 underlying)
Conversion
Series F Preferred Stock
2010-03-19−1,198,503→ 0 total(indirect: By Foundation)
→ Common Stock (1,198,503 underlying)
Conversion
Series D Preferred Stock
2010-03-19−54,145→ 0 total(indirect: By LLC)
→ Common Stock (54,145 underlying)
Conversion
Series D Preferred Stock
2010-03-19−487,305→ 0 total(indirect: By Foundation)
→ Common Stock (487,305 underlying)
Conversion
Series F Preferred Stock
2010-03-19−31,959→ 0 total(indirect: By LLC)
→ Common Stock (31,959 underlying)
Conversion
Common Stock
2010-03-19+105,924→ 2,510,756 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−32,467→ 0 total(indirect: By Foundation)
→ Common Stock (32,467 underlying)

FOUNDATION CAPITAL LP

10% Owner

Transactions

Conversion
Common Stock
2010-03-19+1,198,503→ 2,871,232 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+31,959→ 76,563 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+475,080→ 1,917,527 total(indirect: By Foundation)
Conversion
Series B Preferred Stock
2010-03-19−1,442,447→ 0 total(indirect: By Foundation)
→ Common Stock (1,442,447 underlying)
Conversion
Series D Preferred Stock
2010-03-19−54,145→ 0 total(indirect: By LLC)
→ Common Stock (54,145 underlying)
Conversion
Series E Preferred Stock
2010-03-19−11,771→ 0 total(indirect: By LLC)
→ Common Stock (11,771 underlying)
Conversion
Series F Preferred Stock
2010-03-19−31,959→ 0 total(indirect: By LLC)
→ Common Stock (31,959 underlying)
Other
Common Stock
2010-03-19+6,447→ 2,517,203 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+52,787→ 213,058 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+1,442,447→ 1,442,447 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+105,924→ 2,510,756 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−866→ 0 total(indirect: By LLC)
→ Common Stock (866 underlying)
Conversion
Series C Preferred Stock
2010-03-19−52,787→ 0 total(indirect: By LLC)
→ Common Stock (52,787 underlying)
Conversion
Series D Preferred Stock
2010-03-19−487,305→ 0 total(indirect: By Foundation)
→ Common Stock (487,305 underlying)
Conversion
Series F Preferred Stock
2010-03-19−1,198,503→ 0 total(indirect: By Foundation)
→ Common Stock (1,198,503 underlying)
Conversion
Common Stock
2010-03-19+54,145→ 267,203 total(indirect: By LLC)
Other
Common Stock
2010-03-19+716→ 279,690 total(indirect: By LLC)
Conversion
Series A Preferred Stock
2010-03-19−32,467→ 0 total(indirect: By Foundation)
→ Common Stock (32,467 underlying)
Conversion
Series B Preferred Stock
2010-03-19−160,271→ 0 total(indirect: By LLC)
→ Common Stock (160,271 underlying)
Conversion
Series C Preferred Stock
2010-03-19−475,080→ 0 total(indirect: By Foundation)
→ Common Stock (475,080 underlying)
Conversion
Series E Preferred Stock
2010-03-19−105,924→ 0 total(indirect: By Foundation)
→ Common Stock (105,924 underlying)
Conversion
Common Stock
2010-03-19+32,467→ 1,672,729 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+866→ 44,604 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+160,271→ 160,271 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+11,771→ 278,974 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+487,305→ 2,404,832 total(indirect: By Foundation)

FOUNDATION CAPITAL LEADERSHIP PRINCIPALS FUND LLC

10% Owner

Transactions

Conversion
Series C Preferred Stock
2010-03-19−475,080→ 0 total(indirect: By Foundation)
→ Common Stock (475,080 underlying)
Other
Common Stock
2010-03-19+6,447→ 2,517,203 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−866→ 0 total(indirect: By LLC)
→ Common Stock (866 underlying)
Conversion
Series D Preferred Stock
2010-03-19−487,305→ 0 total(indirect: By Foundation)
→ Common Stock (487,305 underlying)
Conversion
Series E Preferred Stock
2010-03-19−11,771→ 0 total(indirect: By LLC)
→ Common Stock (11,771 underlying)
Conversion
Series F Preferred Stock
2010-03-19−1,198,503→ 0 total(indirect: By Foundation)
→ Common Stock (1,198,503 underlying)
Conversion
Common Stock
2010-03-19+160,271→ 160,271 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+54,145→ 267,203 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+11,771→ 278,974 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+475,080→ 1,917,527 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+487,305→ 2,404,832 total(indirect: By Foundation)
Conversion
Series C Preferred Stock
2010-03-19−52,787→ 0 total(indirect: By LLC)
→ Common Stock (52,787 underlying)
Conversion
Common Stock
2010-03-19+32,467→ 1,672,729 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+52,787→ 213,058 total(indirect: By LLC)
Other
Common Stock
2010-03-19+716→ 279,690 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+105,924→ 2,510,756 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−32,467→ 0 total(indirect: By Foundation)
→ Common Stock (32,467 underlying)
Conversion
Series B Preferred Stock
2010-03-19−160,271→ 0 total(indirect: By LLC)
→ Common Stock (160,271 underlying)
Conversion
Series B Preferred Stock
2010-03-19−1,442,447→ 0 total(indirect: By Foundation)
→ Common Stock (1,442,447 underlying)
Conversion
Series D Preferred Stock
2010-03-19−54,145→ 0 total(indirect: By LLC)
→ Common Stock (54,145 underlying)
Conversion
Series E Preferred Stock
2010-03-19−105,924→ 0 total(indirect: By Foundation)
→ Common Stock (105,924 underlying)
Conversion
Series F Preferred Stock
2010-03-19−31,959→ 0 total(indirect: By LLC)
→ Common Stock (31,959 underlying)
Conversion
Common Stock
2010-03-19+1,198,503→ 2,871,232 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+31,959→ 76,563 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+866→ 44,604 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+1,442,447→ 1,442,447 total(indirect: By Foundation)

FC LEADERSHIP MANAGEMENT CO LLC

10% Owner

Transactions

Conversion
Common Stock
2010-03-19+31,959→ 76,563 total(indirect: By LLC)
Other
Common Stock
2010-03-19+716→ 279,690 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+1,442,447→ 1,442,447 total(indirect: By Foundation)
Conversion
Series D Preferred Stock
2010-03-19−487,305→ 0 total(indirect: By Foundation)
→ Common Stock (487,305 underlying)
Conversion
Series E Preferred Stock
2010-03-19−11,771→ 0 total(indirect: By LLC)
→ Common Stock (11,771 underlying)
Conversion
Common Stock
2010-03-19+1,198,503→ 2,871,232 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+487,305→ 2,404,832 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−32,467→ 0 total(indirect: By Foundation)
→ Common Stock (32,467 underlying)
Conversion
Series D Preferred Stock
2010-03-19−54,145→ 0 total(indirect: By LLC)
→ Common Stock (54,145 underlying)
Conversion
Common Stock
2010-03-19+160,271→ 160,271 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+52,787→ 213,058 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+54,145→ 267,203 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+11,771→ 278,974 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+475,080→ 1,917,527 total(indirect: By Foundation)
Conversion
Series C Preferred Stock
2010-03-19−52,787→ 0 total(indirect: By LLC)
→ Common Stock (52,787 underlying)
Conversion
Series C Preferred Stock
2010-03-19−475,080→ 0 total(indirect: By Foundation)
→ Common Stock (475,080 underlying)
Conversion
Common Stock
2010-03-19+105,924→ 2,510,756 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+32,467→ 1,672,729 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+866→ 44,604 total(indirect: By LLC)
Other
Common Stock
2010-03-19+6,447→ 2,517,203 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−866→ 0 total(indirect: By LLC)
→ Common Stock (866 underlying)
Conversion
Series B Preferred Stock
2010-03-19−160,271→ 0 total(indirect: By LLC)
→ Common Stock (160,271 underlying)
Conversion
Series B Preferred Stock
2010-03-19−1,442,447→ 0 total(indirect: By Foundation)
→ Common Stock (1,442,447 underlying)
Conversion
Series E Preferred Stock
2010-03-19−105,924→ 0 total(indirect: By Foundation)
→ Common Stock (105,924 underlying)
Conversion
Series F Preferred Stock
2010-03-19−31,959→ 0 total(indirect: By LLC)
→ Common Stock (31,959 underlying)
Conversion
Series F Preferred Stock
2010-03-19−1,198,503→ 0 total(indirect: By Foundation)
→ Common Stock (1,198,503 underlying)

FOUNDATION CAPITAL LEADERSHIP FUND LP

10% Owner

Transactions

Conversion
Common Stock
2010-03-19+1,198,503→ 2,871,232 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+866→ 44,604 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+160,271→ 160,271 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+31,959→ 76,563 total(indirect: By LLC)
Conversion
Series A Preferred Stock
2010-03-19−32,467→ 0 total(indirect: By Foundation)
→ Common Stock (32,467 underlying)
Conversion
Series B Preferred Stock
2010-03-19−160,271→ 0 total(indirect: By LLC)
→ Common Stock (160,271 underlying)
Conversion
Series C Preferred Stock
2010-03-19−52,787→ 0 total(indirect: By LLC)
→ Common Stock (52,787 underlying)
Conversion
Series E Preferred Stock
2010-03-19−11,771→ 0 total(indirect: By LLC)
→ Common Stock (11,771 underlying)
Conversion
Common Stock
2010-03-19+32,467→ 1,672,729 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+54,145→ 267,203 total(indirect: By LLC)
Other
Common Stock
2010-03-19+716→ 279,690 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+475,080→ 1,917,527 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+487,305→ 2,404,832 total(indirect: By Foundation)
Conversion
Common Stock
2010-03-19+105,924→ 2,510,756 total(indirect: By Foundation)
Conversion
Series D Preferred Stock
2010-03-19−54,145→ 0 total(indirect: By LLC)
→ Common Stock (54,145 underlying)
Conversion
Common Stock
2010-03-19+52,787→ 213,058 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+11,771→ 278,974 total(indirect: By LLC)
Conversion
Common Stock
2010-03-19+1,442,447→ 1,442,447 total(indirect: By Foundation)
Other
Common Stock
2010-03-19+6,447→ 2,517,203 total(indirect: By Foundation)
Conversion
Series A Preferred Stock
2010-03-19−866→ 0 total(indirect: By LLC)
→ Common Stock (866 underlying)
Conversion
Series B Preferred Stock
2010-03-19−1,442,447→ 0 total(indirect: By Foundation)
→ Common Stock (1,442,447 underlying)
Conversion
Series C Preferred Stock
2010-03-19−475,080→ 0 total(indirect: By Foundation)
→ Common Stock (475,080 underlying)
Conversion
Series D Preferred Stock
2010-03-19−487,305→ 0 total(indirect: By Foundation)
→ Common Stock (487,305 underlying)
Conversion
Series E Preferred Stock
2010-03-19−105,924→ 0 total(indirect: By Foundation)
→ Common Stock (105,924 underlying)
Conversion
Series F Preferred Stock
2010-03-19−1,198,503→ 0 total(indirect: By Foundation)
→ Common Stock (1,198,503 underlying)
Conversion
Series F Preferred Stock
2010-03-19−31,959→ 0 total(indirect: By LLC)
→ Common Stock (31,959 underlying)

Footnotes (5)

[F1]The convertible preferred stock converted on a one-for-one basis and had no expiration date.
[F2]The reporting entity received 716 shares of Common Stock in connection with the conversion, on a one-for-one basis, of shares of Series E preferred stock.
[F3]The reporting entity received 6,447 shares of Common Stock in connection with the conversion, on a one-for-one basis, of shares of Series E preferred stock.
[F4]FC Leadership Management Co., LLC ("FCLM") serves as the sole Manager of Foundation Capital Leadership Fund, L.P. ("FCL") and Foundation Capital Leadership Principals Fund, LLC ("FCLP"). William Elmore, Kathryn Gould, Adam Grosser, Paul Koontz, and Mike Schuh are Managing Members of FCLM. FCLM exercises sole voting and investment power over the shares owned by FCL and FCLP. As Managing Members of FCLM, Ms. Gould and Mssrs. Elmore, Grosser, Koontz and Schuh may be deemed to share voting and investment power over the shares owned by FCL and FCLP. Each of the Managers of FCLM disclaim beneficial ownership of the reported securities, except to the extent of their pecuniary interest therein.
[F5]Foundation Capital Management Co., LLC ("FC1M") serves as the sole Manager of Foundation Capital, L.P. ("FC1") and Foundation Capital Entrepreneurs Fund, LLC ("FC1E"). James Anderson, William Elmore, Kathryn Gould, and Paul Koontz are Managers of FC1M. FC1M exercises sole voting and investment power over the shares owned by FC1 and FC1E. As Managers of FC1M, Ms. Gould and Mssrs. Anderson, Elmore, and Koontz may be deemed to share voting and investment power over the shares owned by FC1 and FC1E. Each of the Managers of FC1M disclaim beneficial ownership of the reported securities, except to the extent of their pecuniary interest therein.

Documents

1 file

4
rrd268894.xmlPrimary
FCM FNGN FORM 4 03/19/10

Issuer

Financial Engines, Inc.

CIK 0001430592

→

Entity typeother

Related Parties

filerCIK 0001005669

Filing Metadata

Form type: 4
Filed: Mar 18, 8:00 PM ET
Accepted: Mar 19, 2:47 PM ET
Size: 60.0 KB

View on SEC.gov