KOONTZ PAUL G 4

4 · Financial Engines, Inc. · Filed May 24, 2013

Form 4

Period: 2013-05-22

Director10% Owner

Transactions

Sale
Common Stock
2013-05-23$42.91/sh−5,000$214,538→ 6,638 total(indirect: By Trust)
Sale
Common Stock
2013-05-24$42.33/sh−9,850$416,960→ 6,000 total(indirect: By Koontz Investments, LP Fund 3)
Sale
Common Stock
2013-05-23$42.74/sh−10,150$433,851→ 15,850 total(indirect: By Koontz Investments, LP Fund 3)
Sale
Common Stock
2013-05-23$42.80/sh−5,000$214,000→ 6,638 total(indirect: By Trust)
Award
Restricted Stock Unit
2013-05-22+5,000→ 5,000 total
Exercise: $0.00→ Common Stock (5,000 underlying)

Holdings

Footnotes (10)

[F1]Shares held by Koontz Investments, LP Fund 3. Paul G. Koontz is a General Partner of Koontz Investments, LP Fund 3 and disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein.
[F10]On 5/24/2013, Paul G. Koontz, as General Partner of Koontz Investments, LP Fund 3, sold 9,850 shares of stock.
[F2]Shares held by Paul G. Koontz as Trustee of the Koontz Revocable Trust Dated 06/29/1998.
[F3]Shares held by Paul G. Koontz as the Trustee of the Paul Koontz 2010 Annuity Trust.
[F4]Spouse of Paul G. Koontz, Andrea Koontz is the Trustee of the Andrea Koontz 2010 Annuity Trust. Mr. Koontz disclaims beneficial ownership of the reported securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
[F5]Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
[F6]The Restricted Stock units vest in four equal annual installments beginning 5/22/2013.
[F7]On 5/23/2013, Paul G. Koontz, as General Partner of Koontz Investments, LP Fund 3, sold 10,150 shares of stock.
[F8]On 5/23/2013, Paul G. Koontz, Trustee of the Paul Koontz 2010 Annuity Trust, sold 5,000 shares of stock.
[F9]On 5/23/2013, spouse of Paul G. Koontz, Andrea Koontz, Trustee of the Andrea Koontz 2010 Annuity Trust, sold 5,000 shares of stock.

Documents

1 file