4//SEC Filing
GROSSER ADAM 4
Accession 0001181431-10-055282
CIK 0001430592other
Filed
Nov 11, 7:00 PM ET
Accepted
Nov 12, 3:41 PM ET
Size
13.6 KB
Accession
0001181431-10-055282
Insider Transaction Report
Form 4
GROSSER ADAM
10% Owner
Transactions
- Other
Common Stock
2010-11-10−500,000→ 1,767,203 total(indirect: By Foundation) - Other
Common Stock
2010-11-10−229,690→ 0 total(indirect: By LLC) - Other
Common Stock
2010-11-10+23,286→ 34,929 total(indirect: By Trust) - Other
Common Stock
2010-11-10−500,000→ 2,121,232 total(indirect: By Foundation) - Other
Common Stock
2010-11-10−76,563→ 0 total(indirect: By LLC)
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. Grosser did not receive any shares. On 11/10/2010, Foundation Capital Entrepreneurs Fund, LLC distributed 229,690 shares of stock to its Partners through which Mr. Grosser did not receive any shares. On 11/10/2010, Foundation Capital Leadership Fund, LP distributed 500,000 shares of stock to its Partners through which Mr. Grosser received 23,286 shares indirectly. On 11/10/2010 Foundation Capital Leadership Principals Fund, LLC distributed 76,563 shares of stock through which Mr. Grosser did not receive any shares.
- [F4]Shares held by Adam Grosser as Trustee of the Adam Grosser Revocable Trust dated 09/25/2003.
Documents
Issuer
Financial Engines, Inc.
CIK 0001430592
Entity typeother
Related Parties
1- filerCIK 0001205494
Filing Metadata
- Form type
- 4
- Filed
- Nov 11, 7:00 PM ET
- Accepted
- Nov 12, 3:41 PM ET
- Size
- 13.6 KB