ANDERSON JAMES C 4
4 · Financial Engines, Inc. · Filed Nov 12, 2010
Insider Transaction Report
Form 4
ANDERSON JAMES C
10% Owner
Transactions
- Other
Common Stock
2010-11-10−500,000→ 1,767,203 total(indirect: By Foundation) - Other
Common Stock
2010-11-10+52,935→ 62,551 total(indirect: By Trust) - Other
Common Stock
2010-11-10−229,690→ 0 total(indirect: By LLC) - Other
Common Stock
2010-11-10−76,563→ 0 total(indirect: By LLC) - Other
Common Stock
2010-11-10−500,000→ 2,121,232 total(indirect: By Foundation)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]In kind distribution. On 11/10/2010, Foundation Capital, LP distributed 500,000 shares of stock to its Partners through which Mr. Anderson received 7,807 shares indirectly. On 11/10/2010, Foundation Capital Entrepreneurs Fund, LLC distributed 229,690 shares of stock to its Partners through which Mr. Anderson received 27,023 shares indirectly. On 11/10/2010, Foundation Capital Leadership Fund, LP distributed 500,000 shares of stock to its Partners through which Mr. Anderson received 1,836 shares indirectly. On 11/10/2010, Foundation Capital Leadership Principals Fund, LLC distributed 76,563 shares of stock to its Partners through which Mr. Anderson received 16,269 shares indirectly.
- [F4]Shares held by James C. Anderson as trustee of the James C. Anderson Living Trust UAD 01/14/1999.