Fine Kenneth M. 4

4 · Financial Engines, Inc. · Filed Feb 17, 2011

Form 4

Period: 2011-02-16

See Remarks

Transactions

Exercise/Conversion
Common Stock
2011-02-16$7.50/sh+14,010$105,075→ 68,015 total
Exercise/Conversion
Common Stock
2011-02-16$6.51/sh+5,990$38,995→ 59,995 total
Sale
Common Stock
2011-02-16$24.49/sh−14,010$343,164→ 54,005 total
Sale
Common Stock
2011-02-16$24.49/sh−5,990$146,720→ 54,005 total
Exercise/Conversion
Employee Stock Option (Right to Buy)
2011-02-16−14,010→ 85,990 total
Exercise: $7.50Exp: 2016-06-19→ Common Stock (14,010 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2011-02-16−5,990→ 54,820 total
Exercise: $6.51Exp: 2018-11-11→ Common Stock (5,990 underlying)

Footnotes (4)

[F1]The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2010.
[F2]The price reported in Col 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $23.00 to $25.91, inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F3]The option award is fully vested.
[F4]The option award vests as to 31,250 shares on 11/11/09, and the remaining shares vest monthly thereafter from 12/11/09 to 11/11/12.

Documents

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