FNGN / Financial Engines, Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan

FNGN / Financial Engines, Inc. 15-12B

15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-34636 FINANCIAL ENGINES, INC. (Financial Engines, LLC as success

FNGN / Financial Engines, Inc. S-8 POS

S-8 POS AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 19, 2018 Registration No.

FNGN / Financial Engines, Inc. S-8 POS

S-8 POS AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 19, 2018 Registration No.

FNGN / Financial Engines, Inc. S-8 POS

S-8 POS AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 19, 2018 Registration No.

FNGN / Financial Engines, Inc. S-8 POS

S-8 POS 1 d552695ds8pos.htm S-8 POS AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 19, 2018 Registration No. 333-216281 Registration No. 333-209615 Registration No. 333-202212 Registration No. 333-186790 Registration No. 333-179609 Registration No. 333-166790 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registratio

FNGN / Financial Engines, Inc. S-8 POS

S-8 POS AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 19, 2018 Registration No.

FNGN / Financial Engines, Inc. S-8 POS

S-8 POS AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 19, 2018 Registration No.

FNGN / Financial Engines, Inc. POSASR

POSASR AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 19, 2018 Registration Statement File No.

Amended and Restated Bylaws of Financial Engines, Inc.

EX-3.2 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF FINANCIAL ENGINES, INC. (a Delaware corporation) ARTICLE I Stockholders SECTION 1. Annual Meetings. The annual meeting of stockholders for the election of directors and for the transaction of such other business as may properly come before the meeting shall be held each year at such date and time, within or without the State of Delaware, as the Boa

HELLMAN & FRIEDMAN COMPLETES ACQUISITION OF FINANCIAL ENGINES

EX-99.1 Exhibit 99.1 HELLMAN & FRIEDMAN COMPLETES ACQUISITION OF FINANCIAL ENGINES SUNNYVALE, Calif.— July 19, 2018— Financial Engines, Inc. (“Financial Engines”), America’s largest independent investment advisor1, and Hellman & Friedman, a leading private equity investment firm, today announced the successful completion of the acquisition of Financial Engines by funds affiliated with Hellman & Fr

Regulation FD Disclosure, Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

8-K 1 d551058d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 19, 2018 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of inc

Amended and Restated Certificate of Incorporation of Financial Engines, Inc.

EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF FINANCIAL ENGINES, INC. FIRST: The name of the corporation (hereinafter sometimes referred to as the “Corporation”) is: Financial Engines, Inc. SECOND: The address of the registered office of the Corporation in the State of Delaware is 200 Bellevue Parkway, Suite 210, Bellevue Park Corporate Center, Wilmington, New Castle Coun

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 16, 2018 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Commission F

Other Events

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 6, 2018 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Comm

FNGN / Financial Engines, Inc. DEFINITIVE PROXY STATEMENT

Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 22, 2018 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation) (Commission Fi

FNGN / Financial Engines, Inc. PRELIMINARY PROXY STATEMENT

Preliminary Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

FNGN / Financial Engines, Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2018 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of registrant as speci

FNGN / Financial Engines, Inc. CORRESP

VIA EDGAR AND OVERNIGHT MAIL Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn: Hugh West May 9, 2018 Re: Financial Engines, Inc. Form 10-K for the Year Ended December 31, 2017 Filed February 22, 2018 File No. 1-34636 Ladies and Gentlemen: On behalf of Financial Engines, Inc. (the “Company”), this letter responds to comments on the above-referenced Form 10-K receive

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 9, 2018 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Commission Fil

Financial Engines Reports First Quarter 2018 Financial Results

Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports First Quarter 2018 Financial Results SUNNYVALE, Calif. – May 9, 2018 – Financial Engines (NASDAQ: FNGN), America’s largest independent investment advisori, today reported financial results for its first quarter ended March 31

Agreement and Plan of Merger, dated as of April 29, 2018, by and among Edelman Financial, L.P., Flashdance Merger Sub, Inc. and Financial Engines, Inc.

EX-2.1 2 s002248x4ex2-1.htm EXHIBIT 2.1 Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among Edelman Financial, L.P., Flashdance Merger Sub, Inc. and Financial Engines, Inc. Dated as of April 29, 2018 Table of Contents Page ARTICLE I THE MERGER Section 1.1. The Merger 1 Section 1.2. Closing 2 Section 1.3. Effective Time 2 ARTICLE II EFFECTS OF THE MERGER Section 2.1. Effects of the Merger 2 Secti

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 29, 2018 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Commission

FNGN / Financial Engines, Inc. FORM 8-K

DEFA14A 1 s002248x48k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 29, 2018 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdic

Agreement and Plan of Merger, dated as of April 29, 2018, by and among Edelman Financial, L.P., Flashdance Merger Sub, Inc. and Financial Engines, Inc.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among Edelman Financial, L.P., Flashdance Merger Sub, Inc. and Financial Engines, Inc. Dated as of April 29, 2018 Table of Contents Page ARTICLE I THE MERGER Section 1.1. The Merger 1 Section 1.2. Closing 2 Section 1.3. Effective Time 2 ARTICLE II EFFECTS OF THE MERGER Section 2.1. Effects of the Merger 2 Section 2.2. Certificate of Incorporation 2 S

FNGN / Financial Engines, Inc. DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State

FNGN / Financial Engines, Inc. DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State

FINANCIAL ENGINES ANNOUNCES AGREEMENT TO BE ACQUIRED BY HELLMAN & FRIEDMAN FOR $45.00 PER SHARE IN CASH Transaction Would Combine Financial Engines and Edelman Financial Services, Creating Unparalleled Independent Registered Investment Advisor

EX-99.1 2 s002248x1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 FINANCIAL ENGINES ANNOUNCES AGREEMENT TO BE ACQUIRED BY HELLMAN & FRIEDMAN FOR $45.00 PER SHARE IN CASH Transaction Would Combine Financial Engines and Edelman Financial Services, Creating Unparalleled Independent Registered Investment Advisor SUNNYVALE, Calif.- April 30, 2018- Financial Engines (NASDAQ:FNGN), America’s largest independent in

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 30, 2018 (April 29, 2018) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporat

FNGN / Financial Engines, Inc. FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 30, 2018 (April 29, 2018) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporat

Press Release dated April 30, 2018

Exhibit 99.1 FINANCIAL ENGINES ANNOUNCES AGREEMENT TO BE ACQUIRED BY HELLMAN & FRIEDMAN FOR $45.00 PER SHARE IN CASH Transaction Would Combine Financial Engines and Edelman Financial Services, Creating Unparalleled Independent Registered Investment Advisor SUNNYVALE, Calif.- April 30, 2018- Financial Engines (NASDAQ:FNGN), America’s largest independent investment advisor1, today announced that it

FNGN / Financial Engines, Inc. DEFINITIVE PROXY STATEMENT

Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 fngn-8k20180222.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 22, 2018 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdicti

Financial Engines Reports Fourth Quarter and Full Year 2017 Financial Results

fngn-ex9916.htm Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Fourth Quarter and Full Year 2017 Financial Results SUNNYVALE, Calif. ? February 22, 2018 ? Financial Engines (NASDAQ: FNGN), America?s largest independent investment advisori, today reported financial results

FNGN / Financial Engines, Inc. 10-K (Annual Report)

10-K 1 fngn-10k20171231.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File

List of Subsidiaries of the Registrant.

EXHIBIT 21.1 Subsidiaries of Financial Engines, Inc. Financial Engines Advisors L.L.C., a Delaware limited liability company. Mayberry Acquisition Sub I, LLC, a Delaware limited liability company. Mayberry HoldCo I, Inc., a Delaware corporation. Mayberry HoldCo II, Inc., a Delaware corporation. Smart 401(k), LLC, a Kansas limited liability company. TMFS Insurance Agency, LLC, a Missouri limited li

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 09)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan

FNGN / Financial Engines, Inc. / VANGUARD GROUP INC Passive Investment

SC 13G/A 1 financialenginesinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5 )* Name of issuer: Financial Engines Inc Title of Class of Securities: Common Stock CUSIP Number: 317485100 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to designate the rule pursu

FNGN / Financial Engines, Inc. / Arrowpoint Asset Management, LLC - 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: December 14, 2017 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporati

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

8-K 1 fngn-8k20171102.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 2, 2017 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdictio

Financial Engines Reports Third Quarter 2017 Financial Results Company Announces $60 Million Stock Repurchase Program

fngn-ex9916.htm Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Third Quarter 2017 Financial Results Company Announces $60 Million Stock Repurchase Program SUNNYVALE, Calif. ? November 2, 2017 ? Financial Engines (NASDAQ: FNGN), America?s largest independent investment adv

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

10-Q 1 fngn-10q20170930.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2017 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, IN

filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2017, filed November 2, 2017 and incorporated herein by reference).

1050 Enterprise Way 3rd Floor Sunnyvale, CA 94089 Office: 408.498.6000 Fax: 408.498.6010 Exhibit 10.1 August 8, 2017 Craig Foster [address redacted] Dear Craig, On behalf of Financial Engines, Inc. (the ?Company?), I am pleased to offer you the position of Executive Vice President and Chief Financial Officer, located in Sunnyvale, and reporting to Larry Raffone, President and CEO. The salary for t

Financial Engines, Inc. Common Stock Underwriting Agreement

EX-1.1 2 d431678dex11.htm EX-1.1 Exhibit 1.1 EXECUTION COPY Financial Engines, Inc. Common Stock Underwriting Agreement August 16, 2017 Morgan Stanley & Co. LLC c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Ladies and Gentlemen: The stockholders listed on Schedule II hereto (the “Selling Stockholders”) of Financial Engines, Inc., a Delaware corporation (the “Company”), severa

FINANCIAL ENGINES, INC.

EX-99.1 Exhibit 99.1 FINANCIAL ENGINES, INC. FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Announces Closing of Secondary Offering of Common Stock SUNNYVALE, Calif. – August 22, 2017 – Financial Engines (NASDAQ: FNGN) today announced the closing of a secondary offering of 4,109,128 shares of

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

8-K 1 d431678d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: August 16, 2017 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction

FNGN / Financial Engines, Inc. / Warburg Pincus Private Equity X, L.P. - BODY Activist Investment

SC 13D/A 1 schedule13da4.htm BODY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 317485100 (CUSIP Number) Warburg Pincus Private Equity X, L.P. c/o Warburg Pincus LLC 450 Lexington Ave. N

4,109,128 Shares Common Stock FINANCIAL ENGINES, INC.

Table of Contents Filed Pursuant to Rule 424(b)(7) Registration No. 333-209366 Prospectus Supplement (To Prospectus dated February 3, 2016) 4,109,128 Shares Common Stock FINANCIAL ENGINES, INC. The selling stockholders identified in this prospectus supplement are offering 4,109,128 shares of common stock, par value $0.0001 per share. We will not receive any of the proceeds from the sale of the sha

FNGN / Financial Engines, Inc. / Warburg Pincus Private Equity X, L.P. Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 317485100 (CUSIP Number) Warburg Pincus Private Equity X, L.P. c/o Warburg Pincus LLC 450 Lexington Ave. New York, NY 10017 (212) 878-0600 Co

FNGN / Financial Engines, Inc. / Warburg Pincus (bermuda) Private Equity X, L.p. Activist Investment

SC 13D/A 1 body.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 317485100 (CUSIP Number) Warburg Pincus Private Equity X, L.P. c/o Warburg Pincus LLC 450 Lexington Ave. New York, NY 100

SUBJECT TO COMPLETION, DATED AUGUST 16, 2017

Filed Pursuant to Rule 424B7 Table of Contents Filed Pursuant to Rule 424(b)(7) Registration No.

Financial Statements and Exhibits, Other Events

8-K 1 d442523d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: August 16, 2017 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction

FINANCIAL ENGINES, INC.

EX-99.1 Exhibit 99.1 FINANCIAL ENGINES, INC. FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Announces Secondary Offering of Common Stock SUNNYVALE, Calif. – August 16, 2017 – Financial Engines (NASDAQ: FNGN) today announced that funds affiliated with Warburg Pincus LLC (the “Selling Stockhold

Financial Engines Names New Chief Financial Officer Craig Foster to Succeed Retiring CFO Ray Sims

EX-99.1 Exhibit 99.1 Financial Engines Names New Chief Financial Officer Craig Foster to Succeed Retiring CFO Ray Sims SUNNYVALE, Calif.?(BUSINESS WIRE)?August 10, 2017? Financial Engines (NASDAQ: FNGN), the largest independent investment advisor in America1, today announced that Craig Foster, an executive with nearly two decades of experience supporting high-growth companies, will join the Financ

Financial Engines 8-K (Current Report/Significant Event)

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: August 9, 2017 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation or or

Financial Engines 8-K (Current Report/Significant Event)

fngn-8k20170808.htm Ine16** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 8, 2017 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of

Financial Engines Reports Second Quarter 2017 Financial Results

fngn-ex9916.htm Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Second Quarter 2017 Financial Results SUNNYVALE, Calif. ? August 8, 2017 ? Financial Engines (NASDAQ: FNGN), America?s largest independent investment advisori, today reported financial results for its second q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2017 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of registrant as specif

Financial Engines FORM 8-K/A (Current Report/Significant Event)

Form 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 23, 2017 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation) (

Financial Engines FORM 8-K (Current Report/Significant Event)

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 23, 2017 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation) (Comm

Financial Engines 10-Q (Quarterly Report)

10-Q 1 fngn-10q20170331.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2017 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (

Financial Engines 8-K (Current Report/Significant Event)

fngn-8k20170504.htm Ine16** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 4, 2017 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of in

Financial Engines Reports First Quarter 2017 Financial Results

fngn-ex9916.htm Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports First Quarter 2017 Financial Results SUNNYVALE, Calif. – May 4, 2017 – Financial Engines (NASDAQ: FNGN), America’s largest independent investment advisori, today reported financial results for its first quarte

Financial Engines DEF 14A

efef UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒

Financial Engines, Inc. Common Stock Underwriting Agreement

EX-1.1 Exhibit 1.1 EXECUTION VERSION Financial Engines, Inc. Common Stock Underwriting Agreement March 7, 2017 Morgan Stanley & Co. LLC c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Ladies and Gentlemen: The stockholders listed on Schedule II hereto (the ?Selling Stockholders?) of Financial Engines, Inc., a Delaware corporation (the ?Company?), severally and not jointly, prop

FINANCIAL ENGINES, INC.

EX-99.1 Exhibit 99.1 FINANCIAL ENGINES, INC. FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Announces Closing of Secondary Offering of Common Stock SUNNYVALE, Calif. ? March 10, 2017 ? Financial Engines (NASDAQ: FNGN) today announced the closing of a secondary offering of 4,109,128 shares of

Financial Engines 8-K (Current Report/Significant Event)

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: March 7, 2017 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation or org

FNGN / Financial Engines, Inc. / Warburg Pincus Private Equity X, L.P. Activist Investment

SC 13D/A 1 sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2) Under the Securities Exchange Act of 1934 FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 317485100 (CUSIP Number) Warburg Pincus Private Equity X, L.P. c/o Warburg Pincus LLC 450 Lexington Ave New York, NY 10

4,109,128 Shares Common Stock FINANCIAL ENGINES, INC.

424B7 1 d355873d424b7.htm 424B7 Table of Contents Filed Pursuant to Rule 424(b)(7) Registration No. 333-209366 Prospectus Supplement (To Prospectus dated February 3, 2016) 4,109,128 Shares Common Stock FINANCIAL ENGINES, INC. The selling stockholders identified in this prospectus supplement are offering 4,109,128 shares of common stock, par value $0.0001 per share. We will not receive any of the p

FNGN / Financial Engines, Inc. / Warburg Pincus Private Equity X, L.P. Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 317485100 (CUSIP Number) Warburg Pincus Private Equity X, L.P. c/o Warburg Pincus LLC 450 Lexington Ave New York, NY 10017 (212) 878-0600 Cop

SUBJECT TO COMPLETION, DATED MARCH 7, 2017

424B7 Table of Contents Filed Pursuant to Rule 424(b)(7) Registration No. 333-209366 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not offers to sell these securities and we are not soliciting offers to buy these securities in any jurisdiction where the offer or sale is not pe

Financial Engines FORM 8-K (Current Report/Significant Event)

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: March 7, 2017 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation o

FINANCIAL ENGINES, INC.

EX-99.1 Exhibit 99.1 FINANCIAL ENGINES, INC. FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Announces Secondary Offering of Common Stock SUNNYVALE, Calif. ? March 7, 2017 ? Financial Engines (NASDAQ: FNGN) today announced that funds affiliated with Warburg Pincus LLC (the ?Selling Stockholder

Financial Engines S-8

S-8 As filed with the Securities and Exchange Commission on February 27, 2017 Registration No.

Financial Engines 10-K (Annual Report)

fngn-10k20161231.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-346

Subsidiaries of Financial Engines, Inc.

Exhibit 21.1 Subsidiaries of Financial Engines, Inc. Financial Engines Advisors L.L.C., a Delaware limited liability company. Mayberry Acquisition Sub I, LLC, a Delaware limited liability company. Mayberry HoldCo I, Inc., a Delaware corporation. Mayberry HoldCo II, Inc., a Delaware corporation. Kansas City 727 Acquisition LLC, a Delaware limited liability company. TMFS Holdings, LLC, a Delaware li

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 fngn-8k20170223.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 23, 2017 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdicti

Financial Engines Reports Fourth Quarter and Full Year 2016 Financial Results

fngn-ex9916.htm Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Fourth Quarter and Full Year 2016 Financial Results SUNNYVALE, Calif. ? February 23, 2017 ? Financial Engines (NASDAQ: FNGN), America?s largest independent investment advisori, today reported financial results

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 08)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the

FNGN / Financial Engines, Inc. / VANGUARD GROUP INC Passive Investment

financialenginesinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 4 )* Name of issuer: Financial Engines Inc Title of Class of Securities: Common Stock CUSIP Number: 317485100 Date of Event Which Requires Filing of this Statement: December 31, 2016 Check the appropriat

Financial Engines FORM 8-K (Current Report/Significant Event)

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: January 17, 2017 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporatio

Financial Engines 10-Q (Quarterly Report)

fngn-10q20160930.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2016 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact na

Financial Engines 8-K (Current Report/Significant Event)

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: November 3, 2016 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation or

Financial Engines Chief Financial Officer Ray Sims to Retire

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE: November 3, 2016, 4:07 p.m. (EST) Financial Engines Chief Financial Officer Ray Sims to Retire SUNNYVALE, Calif ? November 3, 2016 ? Financial Engines (NASDAQ: FNGN) today announced that Ray Sims plans to retire as chief financial officer in 2017 following the completion of a process to choose his successor. He intends to remain in his position until a n

Financial Engines Reports Third Quarter 2016 Financial Results

fngn-ex9916.htm Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Third Quarter 2016 Financial Results SUNNYVALE, Calif. ? November 3, 2016 ? Financial Engines (NASDAQ: FNGN), America?s largest independent investment advisori, today reported financial results for its third q

Financial Statements and Exhibits, Results of Operations and Financial Condition

Ine16** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 3, 2016 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (C

filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2016 filed November 3, 2016 and incorporated herein by reference).

Exhibit 10.1 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Stockholders on May 17, 2016) Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE. 1 SECTION 2. DEFINITIONS. 1 (a) “Affiliate” 1 (b) “Award” 1 (c) “Award Agreement” 1 (d) “Board of Directors” 1 (e) “Cash-Based Award” 2 (f) “Change in Control” 2 (g) “Code” 3 (h) “Committee” 3 (i) “Company” 3 (j)

Financial Engines 10-Q (Quarterly Report)

10-Q 1 fngn-10q20160630.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2016 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (E

filed as Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2016, filed August 3, 2016 and incorporated herein by reference).

Exhibit 10.2 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN EXECUTIVE OFFICER NOTICE OF STOCK OPTION GRANT You have been granted the following Option to purchase Common Stock of FINANCIAL ENGINES, INC. (the “Company”) under the Company’s Amended and Restated 2009 Stock Incentive Plan (the “Plan”): Name of Optionee: FIRSTNAME-LASTNAME Total Number of Option Shares Granted: T

FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Stockholders on May 17, 2016) Table of Contents

EX-10.4 5 fngn-ex10498.htm EX-10.4 Exhibit 10.4 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Stockholders on May 17, 2016) Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE. 1 SECTION 2. DEFINITIONS. 1 (a) “Affiliate” 1 (b) “Award” 1 (c) “Award Agreement” 1 (d) “Board of Directors” 1 (e) “Cash-Based Award” 2 (f) “Change in Control” 2 (g) “Code” 3 (h

filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2016, filed August 3, 2016 and incorporated herein by reference).

Exhibit 10.3 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN EXECUTIVE OFFICER NOTICE OF RSU AWARD You have been granted the following Restricted Stock Units (“RSUs”) representing Common Stock of FINANCIAL ENGINES, INC. (the “Company”) under the Company’s Amended and Restated 2009 Stock Incentive Plan (the “Plan”). Name of Participant: Total Number of RSUs Granted: Date of G

filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2016, filed August 3, 2016 and incorporated herein by reference).

EX-10.1 2 fngn-ex10197.htm EX-10.1 Exhibit 10.1 FINANCIAL ENGINES, INC. Form of Executive Severance and Change in Control Agreement This Executive Severance and Change in Control Agreement (the “Agreement”) is made and entered into by and between [●] (“Executive”) and Financial Engines, Inc., a Delaware corporation (the “Company”), effective as of , 2016 (the “Effective Date”). RECITALS The Compen

Financial Statements and Exhibits, Results of Operations and Financial Condition

fngn-8k20160802.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 2, 2016 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorpo

Financial Engines Reports Second Quarter 2016 Financial Results

EX-99.1 2 fngn-ex9916.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Second Quarter 2016 Financial Results SUNNYVALE, Calif. – August 2, 2016 – Financial Engines (NASDAQ: FNGN), America’s largest independent investment advisori, today reported financial result

Financial Engines FORM 8-K (Current Report/Significant Event)

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 17, 2016 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation) (Comm

Financial Engines 10-Q (Quarterly Report)

fngn-10q20160331.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2016 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name o

Financial Engines 8-K (Current Report/Significant Event)

fngn-8k20160510.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 10, 2016 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorpora

Financial Engines Reports First Quarter 2016 Financial Results Professional Management Revenue Grows 24% Year Over Year Non-GAAP Adjusted EBITDA Grows 23% Year Over Year

EX-99.1 2 fngn-ex996.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports First Quarter 2016 Financial Results Professional Management Revenue Grows 24% Year Over Year Non-GAAP Adjusted EBITDA Grows 23% Year Over Year SUNNYVALE, Calif. – May 10, 2016 – Financial Eng

FNGN / Financial Engines, Inc. / VILLERE ST DENIS J & CO LLC - SC 13G/A Passive Investment

SC 13G/A 1 d165387dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 2) Under the Securities Exchange Act of 1934 FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 317485 10 0 (CUSIP Number) March 31, 2016 Date of Event Which Requires Reporting Check the appropriate box to designate the rule

Financial Engines DEFINITIVE PROXY STATEMENT

Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

filed as Exhibit 99.1 to the Registrant’s Registration Statement on Form S-8, file no. 333-209615, filed March 24, 2016, and incorporated herein by reference).

EX-99.1 Exhibit 99.1 FINANCIAL ENGINES, INC. NOTICE OF STOCK OPTION INDUCEMENT GRANT You have been granted the following Option to purchase Common Stock of FINANCIAL ENGINES, INC. (the ?Company?). This Option is not being granted under the Company?s Amended and Restated 2009 Stock Incentive Plan (the ?Plan?). This Option is instead an inducement grant made pursuant to Section 5635(c)(4) of The NAS

filed as Exhibit 99.2 to the Registrant’s Registration Statement on Form S-8, file no. 333-209615, filed March 24, 2016, and incorporated herein by reference

EX-99.2 Exhibit 99.2 FINANCIAL ENGINES, INC. NOTICE OF RSU INDUCEMENT AWARD You have been granted the following Restricted Stock Units (“RSUs”) representing Common Stock of FINANCIAL ENGINES, INC. (the “Company”). These RSUs are not being granted under the Company’s Amended and Restated 2009 Stock Incentive Plan (the “Plan”). These RSUs are instead an inducement grant made pursuant to Section 5635

Financial Engines POST EFFECTIVE AMENDMENT NO. 1 TO FORM S-8

Post Effective Amendment No. 1 to Form S-8 As filed with the Securities and Exchange Commission on March 24, 2016 Registration No. 333-209615 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT Under THE SECURITIES ACT OF 1933 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware

filed as Exhibit 10.30 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2015, filed February 19, 2016 and incorporated herein by reference).

Exhibit 10.30 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of the 4th day of November , 2015 by and among The Mutual Fund Store, LLC, a Missouri limited liability company (the “Employer”), and Financial Engines, Inc., a Delaware Corporation and parent company of the Employer (the “Parent”), and John Bunch (“Employee”). W I T N E S S E T H: WHEREAS,

FNGN / Financial Engines, Inc. 10-K - Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34636 FINANCIAL ENGINES,

Financial Engines FORM S-8

S-8 1 d145640ds8.htm FORM S-8 As filed with the Securities and Exchange Commission on February 19, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under THE SECURITIES ACT OF 1933 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 94-3250323 (State or other jurisdiction of incorp

FINANCIAL ENGINES, INC. NOTICE OF RSU INDUCEMENT AWARD

EX-99.2 Exhibit 99.2 FINANCIAL ENGINES, INC. NOTICE OF RSU INDUCEMENT AWARD You have been granted the following Restricted Stock Units (?RSUs?) representing Common Stock of FINANCIAL ENGINES, INC. (the ?Company?). These RSUs are not being granted under the Company?s Amended and Restated 2009 Stock Incentive Plan (the ?Plan?). These RSUs are instead an inducement grant made pursuant to Section 5635

Subsidiaries of Financial Engines, Inc.

Exhibit 21.1 Subsidiaries of Financial Engines, Inc. Financial Engines Advisors L.L.C., a Delaware limited liability company. Kansas City 727 Acquisition LLC, a Delaware limited liability company. Mayberry Acquisition Sub I, LLC, a Delaware limited liability company. Mayberry HoldCo I, Inc., a Delaware corporation. Mayberry HoldCo II, Inc., a Delaware corporation. The Mutual Fund Research Center,

FINANCIAL ENGINES, INC. NOTICE OF STOCK OPTION INDUCEMENT GRANT

EX-99.1 4 d145640dex991.htm EX-99.1 Exhibit 99.1 FINANCIAL ENGINES, INC. NOTICE OF STOCK OPTION INDUCEMENT GRANT You have been granted the following Option to purchase Common Stock of FINANCIAL ENGINES, INC. (the “Company”). This Option is not being granted under the Company’s Amended and Restated 2009 Stock Incentive Plan (the “Plan”). This Option is instead an inducement grant made pursuant to S

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition

fngn-8k20160211.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 11, 2016 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of inco

Financial Engines Reports Fourth Quarter and Full Year 2015 Financial Results 2015 Professional Management Revenue Grows 13% Year Over Year The Mutual Fund Store Acquisition Closes February 1, 2016

EX-99.1 2 fngn-ex9916.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Fourth Quarter and Full Year 2015 Financial Results 2015 Professional Management Revenue Grows 13% Year Over Year The Mutual Fund Store Acquisition Closes February 1, 2016 SUNNYVALE, Calif. –

FNGN / Financial Engines, Inc. / VILLERE ST DENIS J & CO LLC - SC 13G/A Passive Investment

SC 13G/A 1 d197261dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1) Under the Securities Exchange Act of 1934 FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 317485 10 0 (CUSIP Number) December 31, 2015 Date of Event Which Requires Reporting Check the appropriate box to designate the ru

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 07)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the

FNGN / Financial Engines, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - FNGN AS OF 12/31/2015 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) FINANCIAL ENGINES INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedul

FNGN / Financial Engines, Inc. / Warburg Pincus Private Equity X, L.P. - SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 317485100 (CUSIP Number) Warburg Pincus Private Equity X, L.P. c/o Warburg Pincus LLC 450 Lexington Ave New York, NY 10017 (212) 878-0600 Copy to: Mark F. Vebl

JOINT FILING AGREEMENT

Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including any amendments thereto) with respect to the shares of Common Stock of the Issuer, and further agrees that this Joint Filing Agreement (this “Agreement”) be included as an exhibit to such joint filing.

PUT/CALL LETTER AGREEMENT

Exhibit 4 PUT/CALL LETTER AGREEMENT November 5, 2015 TMFS Holdings, Inc. Attn: Adam S. Bold 1744 Stone Canyon Road Los Angeles, California 90077 Re: Put/Call Agreement Dear Adam: As you know, Kansas City 727 Acquisition LLC, the parent company of The Mutual Fund Store, LLC (the “Employer”), Financial Engines, Inc. (“Purchaser”) and certain other parties are entering into an Agreement and Plan of M

Financial Engines 3G/A (Passive Acquisition of More Than 5% of Shares)

SC 13G/A 1 financialeneginesinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3 )* Name of issuer: Financial Engines Inc Title of Class of Securities: Common Stock CUSIP Number: 317485100 Date of Event Which Requires Filing of this Statement: December 31, 2015 Check the appropriate box to designate the rule purs

Pro Forma Condensed Combined Financial Statements

EX-99.4 Exhibit 99.4 Pro Forma Condensed Combined Financial Statements (unaudited) The Unaudited Pro Forma Condensed Combined Balance Sheet combines the consolidated balance sheets of Financial Engines, Inc. (?Financial Engines? or ?Company?) and Kansas City 727 Acquisition LLC and Subsidiaries (?The Mutual Fund Store?), giving effect to the acquisition as if it had been consummated on September 3

EX-99.1

Exhibit 99.1 Remarks: This Form 3 is being jointly filed pursuant to Rule 16a-1(a)(3) and Rule 16a-3(k) under the Securities Exchange Act of 1934, as amended (the "Exchange Act") in connection with the consummation of certain transactions contemplated by that certain Agreement and Plan of Mergers, dated as of November 5, 2015 (as it may be amended from time to time, the "Merger Agreement"), by and

EX-99.1

Exhibit 99.1 Remarks: This Form 3 is being jointly filed pursuant to Rule 16a-1(a)(3) and Rule 16a-3(k) under the Securities Exchange Act of 1934, as amended (the "Exchange Act") in connection with the consummation of certain transactions contemplated by that certain Agreement and Plan of Mergers, dated as of November 5, 2015 (as it may be amended from time to time, the "Merger Agreement"), by and

Kansas City 727 Acquisition LLC and Subsidiaries Consolidated Financial Statements (Unaudited) Nine-Month Periods Ended September 30, 2015 and 2014 Consolidated Financial Statements (Unaudited) Consolidated Balance Sheets (Unaudited) 1 Consolidated S

EX-99.3 Exhibit 99.3 CONSOLIDATED FINANCIAL STATEMENTS (UNAUDITED) Kansas City 727 Acquisition LLC and Subsidiaries Nine-Month Periods Ended September 30, 2015 and 2014 Kansas City 727 Acquisition LLC and Subsidiaries Consolidated Financial Statements (Unaudited) Nine-Month Periods Ended September 30, 2015 and 2014 Contents Consolidated Financial Statements (Unaudited) Consolidated Balance Sheets

filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed February 3, 2016, and incorporated herein by reference

EX-10.1 Exhibit 10.1 EXECUTION VERSION FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGERS This FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGERS (this ?Amendment?), dated as of January 29, 2016, is by and among, Financial Engines, Inc. , a Delaware corporation (?Purchaser?), Mayberry Acquisition Sub I, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of Purchaser (?Merge

filed as Exhibit 10.2 to the Registrant’s Current Report on Form 8-K filed February 3, 2016, and incorporated herein by reference).

EX-10.2 Exhibit 10.2 LETTER AGREEMENT January 27, 2016 Re: TMFS Holdings, Inc. Phantom Equity Agreement Dear John: As you know, TMFS Holdings, Inc. (the ?Company?), Kansas City 727 Acquisition LLC (?727 LLC?), Financial Engines, Inc. (?Purchaser?) and certain other parties are entered into an Agreement and Plan of Mergers, dated as of the date hereof (the ?Merger Agreement?). Concurrently with the

Financial Engines Completes Acquisition of The Mutual Fund Store Announces Appointment of New Chairman of the Board of Directors Company to Report Fourth Quarter and Full Year 2015 Financial Results on February 18, 2016

EX-99.1 5 d50818dex991.htm EX-99.1 Exhibit 99.1 Financial Engines Completes Acquisition of The Mutual Fund Store Announces Appointment of New Chairman of the Board of Directors Company to Report Fourth Quarter and Full Year 2015 Financial Results on February 18, 2016 SUNNYVALE, Calif. – February 1, 2016 – Financial Engines (NASDAQ: FNGN), America’s largest independent investment advisor1, today an

Financial Engines FORM 8-K (Current Report/Significant Event)

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 28, 2016 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (

Financial Engines S-3ASR

S-3ASR Table of Contents As filed with the Securities and Exchange Commission on February 3, 2016 Registration No.

Kansas City 727 Acquisition LLC and Subsidiaries Consolidated Financial Statements Years Ended December 31, 2014, 2013, and 2012 Report of Independent Auditors 1 Consolidated Financial Statements Consolidated Balance Sheets 3 Consolidated Statements

EX-99.2 Exhibit 99.2 CONSOLIDATED FINANCIAL STATEMENTS Kansas City 727 Acquisition LLC and Subsidiaries Years Ended December 31, 2014, 2013, and 2012 With Report of Independent Auditors Kansas City 727 Acquisition LLC and Subsidiaries Consolidated Financial Statements Years Ended December 31, 2014, 2013, and 2012 Contents Report of Independent Auditors 1 Consolidated Financial Statements Consolida

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 06)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) November 30, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r

FNGN / Financial Engines, Inc. / VILLERE ST DENIS J & CO LLC - SCHEDULE 13G Passive Investment

SC 13G 1 d12753dsc13g.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 FINANCIAL ENGINES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 317485 10 0 (CUSIP Number) October 31, 2015 Date of Event Which Requires Reporting Check the appropriate box to designate the rule pursuant to which

JOINT FILING AGREEMENT

EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Financial Engines, Inc. and that this Agreement be included as an Exhibit to such join

filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed November 9, 2015, and incorporated herein by reference

EX-4.1 3 d64213dex41.htm EX-4.1 Exhibit 4.1 EXECUTION VERSION FINANCIAL ENGINES, INC. STOCKHOLDERS AGREEMENT Dated as of November 5, 2015 TABLE OF CONTENTS Page ARTICLE I GOVERNANCE MATTERS 1.1 Board Representation 1 1.2 Replacement of Board Representative 2 1.3 Compensation; Indemnification 2 1.4 Selection of Board Representative 3 1.5 Notice; Information 3 1.6 Venture Capital Qualifying Investme

Financial Engines to Acquire The Mutual Fund Store to Expand Independent Advisory Services for 401(k) Plan Participants

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE: November 5, 2015, 4:04 p.m. (EST) Financial Engines to Acquire The Mutual Fund Store to Expand Independent Advisory Services for 401(k) Plan Participants ? Adds comprehensive financial planning and dedicated in-person advisors at over 125 locations ? Leverages Financial Engines? technology platform to provide high-touch services at scale ? Expect approxi

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 5, 2015 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Commissio

Agreement and Plan of Mergers, dated as of November 5, 2015 by and among Financial Engines, Inc., Mayberry Acquisition Sub I, LLC, Mayberry Acquisition Sub, Inc., Mayberry Acquisition Sub II, LLC, Kansas City 727 Acquisition Corporation, TMFS Holdings, Inc., Kansas City 727 Acquisition LLC, and, solely in its capacity as representative of the Sellers, WP Fury Holdings, LLC (filed as Exhibit 2.1 to the Registrant’s Current Report on Form 8-K filed November 9, 2015, and incorporated herein by reference) and

EX-2.1 Exhibit 2.1 STRICTLY CONFIDENTIAL EXECUTION VERSION AGREEMENT AND PLAN OF MERGERS, by and among FINANCIAL ENGINES, INC., MAYBERRY ACQUISITION SUB I, LLC, MAYBERRY ACQUISITION SUB, INC., MAYBERRY ACQUISITION SUB II, LLC, KANSAS CITY 727 ACQUISITION CORPORATION, TMFS HOLDINGS, INC., KANSAS CITY 727 ACQUISITION LLC and WP FURY HOLDINGS, LLC, solely in its capacity as the Sellers? Representativ

Financial Engines Reports Third quarter 2015 Financial Results Financial Engines to Acquire The Mutual Fund Store to Expand Independent Advisory Services for 401(k) Plan Participants Provides Outlook for Fiscal Year 2016

fngn-ex9916.htm Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Third quarter 2015 Financial Results Financial Engines to Acquire The Mutual Fund Store to Expand Independent Advisory Services for 401(k) Plan Participants Provides Outlook for Fiscal Year 2016 SUNNYVALE, Cal

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2015 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of registrant as s

Financial Engines 8-K (Current Report/Significant Event)

fngn-8k20151105.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 5, 2015 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incor

Financial Engines Reports Second Quarter 2015 Financial Results Achieves $6.5 Billion Gross New Enrollment in Q2 Company Announces New Provider Relationship with Wells Fargo

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Second Quarter 2015 Financial Results Achieves $6.5 Billion Gross New Enrollment in Q2 Company Announces New Provider Relationship with Wells Fargo SUNNYVALE, Calif. ? August 5, 2015 ? Financial Engines (NASDAQ: FNGN)

filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2015, filed on August 5, 2015 and incorporated herein by reference).

Exhibit 10.1 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF RSU AWARD OUTSIDE DIRECTOR You have been granted the following Restricted Stock Units (?RSUs?) representing Common Stock of FINANCIAL ENGINES, INC. (the ?Company?) under the Company?s Amended and Restated 2009 Stock Incentive Plan (the ?Plan?). Name of Participant: Total Number of RSUs Granted: Date of Gr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2015 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of registrant as specif

Financial Engines FORM 8-K (Current Report/Significant Event)

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 5, 2015 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Co

FNGN / Financial Engines, Inc. / WELLS FARGO & COMPANY/MN Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) FINANCIAL ENGINES INC (Name of Issuer) COM (Title of Class of Securities) 317485100 (CUSIP Number) May 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file

Submission of Matters to a Vote of Security Holders

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 19, 2015 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

10-Q 1 d888935d10q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2015 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCI

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 6, 2015 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Commission Fil

Financial Engines Reports First Quarter 2015 Financial Results AUC Grows 22% Year Over Year to More Than $1 Trillion AUM Grows 19% Year Over Year

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports First Quarter 2015 Financial Results AUC Grows 22% Year Over Year to More Than $1 Trillion AUM Grows 19% Year Over Year SUNNYVALE, Calif. – May 6, 2015 – Financial Engines (NASDAQ: FNGN), America’s largest independent

Financial Engines DEFINITIVE PROXY STATEMENT

Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

FNGN / Financial Engines, Inc. S-8 - - FORM S-8

Form S-8 As filed with the Securities and Exchange Commission on February 20, 2015 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

10-K 1 d849380d10k.htm FORM 10-K Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 F

Financial Statements and Exhibits, Results of Operations and Financial Condition

Prepared by R.R. Donnelley Financial - Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 19, 2015 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State o

Financial Engines Reports Fourth Quarter and Full Year 2014 Financial Results 2014 Professional Management Revenue Grows 21% Year Over Year 2014 AUM Grows 18% Year Over Year Company Increases Regular Quarterly Cash Dividend to $0.07 per Share of Comm

Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Fourth Quarter and Full Year 2014 Financial Results 2014 Professional Management Revenue Grows 21% Year Over Year 2014 AUM Grows 18% Year Over Year Company Increases Regular Quarterly Cash Dividend to $0.07 per Share of Commo

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

FNGN / Financial Engines, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - FNGN AS OF 12/31/2014 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6) FINANCIAL ENGINES INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedul

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 d872783d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 12, 2015 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdicti

Financial Engines Increases Quarterly Dividend

EX-99.1 Exhibit 99.1 Financial Engines Increases Quarterly Dividend SUNNYVALE, Calif – February 12, 2015 – Financial Engines (NASDAQ: FNGN) announced today that its Board of Directors has increased the Company’s quarterly cash dividend rate from $0.06 per share of common stock to $0.07 per share of common stock. On an annualized basis, the dividend increases from $0.24 per share to $0.28 per share

FNGN / Financial Engines, Inc. / WELLS FARGO & COMPANY/MN Passive Investment

SC 13G 1 wffinanciale-317485100.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) FINANCIAL ENGINES INC (Name of Issuer) COM (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule

FNGN / Financial Engines, Inc. / VANGUARD GROUP INC Passive Investment

financialenginesinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2 )* Name of issuer: Financial Engines Inc Title of Class of Securities: Common Stock CUSIP Number: 317485100 Date of Event Which Requires Filing of this Statement: December 31, 2014 Check the appropriat

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Prepared by R.R. Donnelley Financial - Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2014 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File N

filed as Exhibit 10.2 to the Registrant’s Current Report on Form 8-K, filed November 6, 2014 and incorporated herein by reference

EX-10.2 Exhibit 10.2 CONSULTING AGREEMENT Effective January 1, 2015 (“Effective Date”), Jeffrey N. Maggioncalda, an individual (“Consultant”), and Financial Engines, Inc., a Delaware company (the “Company”), agree as follows: WHEREAS, until the Effective Date of this Agreement, Consultant was an employee of the Company and served as its Chief Executive Officer and a member of its Board of Director

Financial Engines Reports Third Quarter 2014 Financial Results AUM Grows 24% Year Over Year Professional Management Revenue Grows 20% Year Over Year Provides Outlook for Fiscal Year 2015

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Third Quarter 2014 Financial Results AUM Grows 24% Year Over Year Professional Management Revenue Grows 20% Year Over Year Provides Outlook for Fiscal Year 2015 SUNNYVALE, Calif. – November 6, 2014 – Financial Engines

Financial Engines Announces CEO Succession Lawrence M. Raffone to Succeed Jeffrey N. Maggioncalda, Effective January 1, 2015

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE: November 6, 2014, 4:02 p.m. (EST) Press Contact: Financial Engines David Weiskopf, 408-498-6555 [email protected] Financial Engines Announces CEO Succession Lawrence M. Raffone to Succeed Jeffrey N. Maggioncalda, Effective January 1, 2015 Sunnyvale, Calif. (November 6, 2014) – Financial Engines (NASDAQ: FNGN), America’s largest independent r

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 d815976d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: November 5, 2014 (Date of earliest event reported) Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 6, 2014 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 d769709d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 31, 2014 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Financial Engines Reports Second Quarter 2014 Financial Results AUM Grows 32% Year Over Year AUC Grows 30% Year Over Year

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Second Quarter 2014 Financial Results AUM Grows 32% Year Over Year AUC Grows 30% Year Over Year SUNNYVALE, Calif. – July 31, 2014 – Financial Engines (NASDAQ: FNGN), America’s largest independent investment advisori,

FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Stockholders on May 20, 2014) Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE. 1 SECTION 2. DEFINITIONS. 1 (a) “Affiliate” 1 (b) “Award” 1 (c) “Award Agre

EX-10.1 Exhibit 10.1 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Stockholders on May 20, 2014) Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE. 1 SECTION 2. DEFINITIONS. 1 (a) “Affiliate” 1 (b) “Award” 1 (c) “Award Agreement” 1 (d) “Board of Directors” 1 (e) “Cash-Based Award” 2 (f) “Change in Control” 2 (g) “Code” 3 (h) “Committee” 3 (i) “Compan

Submission of Matters to a Vote of Security Holders

8-K 1 d732350d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 20, 2014 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of

FNGN / Financial Engines, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - FNGN AS OF 04/30/2014 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* FINANCIAL ENGINES INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 317485100 (CUSIP Number) April 30, 2014 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2014 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of r

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Prepared by R.R. Donnelley Financial - Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 6, 2014 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or othe

Financial Engines Reports First Quarter 2014 Financial Results AUM and AUC Grow 30% Year Over Year Adjusted EBITDAi Grows 32% Year Over Year

Prepared by R.R. Donnelley Financial - Exhibit 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports First Quarter 2014 Financial Results AUM and AUC Grow 30% Year Over Year Adjusted EBITDAi Grows 32% Year Over Year SUNNYVALE, Calif. – May 6, 2014 – Financial Engines (NASDA

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 d705002d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 4, 2014 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction o

- DEF 14A

DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 20, 2014 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Comm

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Financial Engines Reports Fourth Quarter and Full Year 2013 Financial Results 2013 AUM Grows 38% Year Over Year 2013 Adjusted EBITDA Grows 42% Year Over Year Company Increases Regular Quarterly Cash Dividend to $0.06 per Share of Common Stock in 2014

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Fourth Quarter and Full Year 2013 Financial Results 2013 AUM Grows 38% Year Over Year 2013 Adjusted EBITDA Grows 42% Year Over Year Company Increases Regular Quarterly Cash Dividend to $0.06 per Share of Common Stock

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 12, 2014 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation)

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 03)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the

FNGN / Financial Engines, Inc. / VANGUARD GROUP INC Passive Investment

financialengines.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Financial Engines Inc Title of Class of Securities: Common Stock CUSIP Number: 317485100 Date of Event Which Requires Filing of this Statement: December 31, 2013 Check the appropriate b

FNGN / Financial Engines, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - FNGN AS OF 12/31/2013 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* FINANCIAL ENGINES INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedu

FNGN / Financial Engines, Inc. / WELLS FARGO & COMPANY/MN Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) Financial Engines, Inc. (Name of Issuer) COM (Title of Class of Securities) 317485100 (CUSIP Number) November 30, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 5, 2013 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction (Commission (I.R.S.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2013 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name

Financial Engines Reports Third Quarter 2013 Financial Results AUM Grows 33% Year Over Year to $82.0 Billion Adjusted EBITDAi Grows 50% Year Over Year Provides Outlook for Fiscal Year 2014

Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Third Quarter 2013 Financial Results AUM Grows 33% Year Over Year to $82.0 Billion Adjusted EBITDAi Grows 50% Year Over Year Provides Outlook for Fiscal Year 2014 SUNNYVALE, Calif. – November 5, 2013 – Financial Engines (NASD

Financial Engines Reports Second Quarter 2013 Financial Results AUM Grows 37% Year Over Year to $74.3 Billion Adjusted EBITDAi Grows 45% Year Over Year

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Second Quarter 2013 Financial Results AUM Grows 37% Year Over Year to $74.3 Billion Adjusted EBITDAi Grows 45% Year Over Year SUNNYVALE, Calif. – August 1, 2013 – Financial Engines (NASDAQ: FNGN), America’s largest in

filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013, filed August 1, 2013 and incorporated herein by reference).

EXHIBIT 10.3 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF RSU AWARD DECEMBER 31, 2015 VESTING You have been granted the following Restricted Stock Units (?RSUs?) representing Common Stock of FINANCIAL ENGINES, INC. (the ?Company?) under the Company?s Amended and Restated 2009 Stock Incentive Plan (the ?Plan?). Name of Participant: %%FIRST NAME%-% %%LAST NAME%-%

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 1, 2013 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Co

filed as Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013, filed August 1, 2013 and incorporated herein by reference).

EXHIBIT 10.2 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF RSU AWARD TWO-YEAR VESTING You have been granted the following Restricted Stock Units (?RSUs?) representing Common Stock of FINANCIAL ENGINES, INC. (the ?Company?) under the Company?s Amended and Restated 2009 Stock Incentive Plan (the ?Plan?). Name of Participant: %%FIRST NAME%-% %%LAST NAME%-% Total Num

filed as Exhibit 10.4 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013, filed August 1, 2013 and incorporated herein by reference).

EX-10.4 EXHBIT 10.4 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF STOCK OPTION GRANT Vesting December 31, 2015 You have been granted the following Option to purchase Common Stock of FINANCIAL ENGINES, INC. (the “Company”) under the Company’s Amended and Restated 2009 Stock Incentive Plan (the “Plan”): Name of Optionee: %%FIRST NAME%-% %%LAST NAME%-% Total Number

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2013 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of re

filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013, filed August 1, 2013 and incorporated herein by reference).

EXHIBIT 10.1 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF RSU AWARD ONE-YEAR VESTING You have been granted the following Restricted Stock Units (?RSUs?) representing Common Stock of FINANCIAL ENGINES, INC. (the ?Company?) under the Company?s Amended and Restated 2009 Stock Incentive Plan (the ?Plan?). Name of Participant: %%FIRST NAME%-% %%LAST NAME%-% Total Num

FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Stockholders on May 21, 2013) FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE. 1 SE

EX-10.1 Exhibit 10.1 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Stockholders on May 21, 2013) FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE. 1 SECTION 2. DEFINITIONS. 1 (a) “Affiliate” 1 (b) “Award” 1 (c) “Award Agreement” 1 (d) “Board of Directors” 1 (e) “Cash-Based Award”

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 21, 2013 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation) (Comm

filed as Exhibit 10.2 to the Registrant’s Current Report on Form 8-K filed May 28, 2013, and incorporated herein by reference

Exhibit 10.2 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF PERFORMANCE STOCK UNIT AWARD FINANCIAL ENGINES, INC. (the “Company”) has granted you the following Performance Stock Unit (“PSU”) award under the Company’s Amended and Restated 2009 Stock Incentive Plan (the “Plan”) and the 2013-2017 Long-Term Incentive Program (“LTIP”). Name of Participant: Target Number

filed as Exhibit 10.3 to the Registrant’s Current Report on Form 8-K filed May 28, 2013, and incorporated herein by reference).

EX-10.3 Exhibit 10.3 FINANCIAL ENGINES 2014 EXECUTIVE CASH INCENTIVE PLAN 1. Purpose. The purpose of the 2014 Executive Cash Incentive Plan (the “Plan”) is to provide a link between compensation and performance, to motivate participants to achieve corporate performance objectives, and to attract, motivate and reward the individuals who are part of the senior executive staff of Financial Engines, I

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 7, 2013 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Commi

Financial Engines Reports First Quarter 2013 Financial Results AUM Grows 32% Year Over Year to $70.8 Billion Adjusted EBITDAi Grows 43% Year Over Year

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports First Quarter 2013 Financial Results AUM Grows 32% Year Over Year to $70.8 Billion Adjusted EBITDAi Grows 43% Year Over Year SUNNYVALE, Calif. – May 7, 2013 – Financial Engines (NASDAQ: FNGN), America’s largest indepe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2013 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of r

- DEFINITIVE PROXY STATEMENT

DEF 14A 1 d486344ddef14a.htm DEFINITIVE PROXY STATEMENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential,

- FORM S-8

FORM S-8 As filed with the Securities and Exchange Commission on February 22, 2013 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34636

Financial Engines Reports Fourth Quarter and Full Year 2012 Financial Results 2012 AUM Grows 35% Year Over Year 2012 Adjusted EBITDA Grows 37% Year Over Year Company Initiates Quarterly Cash Dividend of $0.05 per Share of Common Stock

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Fourth Quarter and Full Year 2012 Financial Results 2012 AUM Grows 35% Year Over Year 2012 Adjusted EBITDA Grows 37% Year Over Year Company Initiates Quarterly Cash Dividend of $0.05 per Share of Common Stock SUNNYVAL

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 14, 2013 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation)

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 19, 2013 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation)

filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed February 19, 2013, and incorporated herein by reference).

EX-10.1 Exhibit 10.1 2013 Executive Individual Performance Factor Bonus Plan Purpose of this Plan This is the 2013 Financial Engines Executive Individual Performance Factor Bonus Plan (the “IPF Plan”). The purpose of this new plan is to incentivize the performance of certain designated executives of Financial Engines (the “Company”) against specified individual goals. Executives who are designated

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan

FNGN / Financial Engines, Inc. / VANGUARD GROUP INC Passive Investment

financialenginesinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: Financial Engines Inc Title of Class of Securities: Common Stock CUSIP Number: 317485100 Date of Event Which Requires Filing of this Statement: December 31, 2012 Check the appropriat

FNGN / Financial Engines, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - FNGN AS OF 12/31/2012 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* FINANCIAL ENGINES INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2012 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedu

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 d472968d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 22, 2013 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001- 34636 94-3250323 (State or Other Jurisdicti

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 16, 2012 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (Commissi

Financial Engines Reports Third Quarter 2012 Financial Results AUM Grows 46% Year Over Year Revenue Grows 36% Year Over Year Adjusted EBITDA Grows 47% Year Over Year

Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Third Quarter 2012 Financial Results AUM Grows 46% Year Over Year Revenue Grows 36% Year Over Year Adjusted EBITDA Grows 47% Year Over Year SUNNYVALE, Calif. – November 6, 2012 – Financial Engines (NASDAQ: FNGN)

Financial Engines Promotes Larry Raffone to President New Position Supports Broadening Growth Opportunities

EX-99.1 2 d432573dex991.htm PRESS RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Cari Gushiken Don Duffy (408) 498-6686 (408) 498-6040 [email protected] [email protected] Financial Engines Promotes Larry Raffone to President New Position Supports Broadening Growth Opportunities SUNNYVALE, CA, Nov. 6, 2012 – Financial Engines® (NASDAQ: FNGN), America’s largest independent r

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 6, 2012 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 6, 2012 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 10, 2012 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001- 34636 94-3250323 (State or Other Jurisdiction of Incorporation)

Financial Engines Income+ Solution Gains Momentum

Press Release Exhibit 99.1 Financial Engines Income+ Solution Gains Momentum More Than 50 Signed Contracts Totaling Over $79 Billion in Retirement Assets Will Help Over 900,000 Employees Build Lifetime Income NEW YORK, Oct. 10, 2012 – Financial Engines® (NASDAQ: FNGN), America’s largest independent registered investment advisor, today announced strong demand for its Income+ solution with more than

-

Correspondence September 24, 2012 VIA EDGAR AND OVERNIGHT MAIL Securities and Exchange Commission 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2012 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (Exact name of re

filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, filed August 1, 2012 and incorporated herein by reference).

Form of Amended and Restated 2009 Stock Incentive Plan (Employees) Exhibit 10.1 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF STOCK OPTION GRANT You have been granted the following Option to purchase Common Stock of FINANCIAL ENGINES, INC. (the “Company”) under the Company’s Amended and Restated 2009 Stock Incentive Plan (the “Plan”): Name of Optionee: Total Numb

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 1, 2012 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction (Commission (I.R.S. Employer o

Financial Engines Reports Second Quarter 2012 Financial Results AUM and AUC Grow 24% Year Over Year Revenue Grows 26% Year Over Year Adjusted EBITDA Grows 31% Year Over Year

Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (408) 498-6040 [email protected] [email protected] Financial Engines Reports Second Quarter 2012 Financial Results AUM and AUC Grow 24% Year Over Year Revenue Grows 26% Year Over Year Adjusted EBITDA Grows 31% Year Over Year SUNNYVALE, Calif. – August 1, 2012 – Financial Engines (NASDAQ: FNGN), the le

filed as Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, filed August 1, 2012 and incorporated herein by reference).

Form of Amended and Restated 2009 Stock Incentive Plan (Outside Directors) Exhibit 10.

Income+ Plan Sponsor Briefing

Slide Presentation Income+ Plan Sponsor Briefing How it works and early results Christopher L.

Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 14, 2012 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001- 34636 94-3250323 (State or Other Jurisdiction of Incorporation) (Co

Submission of Matters to a Vote of Security Holders - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 15, 2012 FINANCIAL ENGINES, INC. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or Other Jurisdiction of Incorporation) (Comm

Financial Engines Reports First Quarter 2012 Financial Results AUM Grows 31% Year Over Year to $53.7 Billion AUC Grows 25% Year Over Year to $517 Billion Adjusted EBITDA Grows 54% Year Over Year

Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Amy Conley Don Duffy (617) 556-2305 (650) 565-7740 [email protected] [email protected] Financial Engines Reports First Quarter 2012 Financial Results AUM Grows 31% Year Over Year to $53.7 Billion AUC Grows 25% Year Over Year to $517 Billion Adjusted EBITDA Grows 54% Year Over Year PALO ALTO, Calif. - May 8, 2012 - Financia

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 8, 2012 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction (Commission (I.R.S. Empl

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2012 March 31, 2012 OR ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 001-34636 FINANCIAL ENGINES, INC. (

- DEFINITIVE PROXY STATEMENT

Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34636

- FORM S-8

Form S-8 As filed with the Securities and Exchange Commission on February 21, 2012 Registration No.

filed as Exhibit 10.20 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2011, filed February 22, 2012 and incorporated herein by reference).

EX-10.20 3 d218380dex1020.htm FORM OF AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN Exhibit 10.20 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN NOTICE OF RSU AWARD OUTSIDE DIRECTOR You have been granted the following Restricted Stock Units (“RSUs”) representing Common Stock of FINANCIAL ENGINES, INC. (the “Company”) under the Company’s Amended and Restated 2009 Stock Ince

FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Shareholders February 24, 2010) FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE 1 S

EX-10.2 2 d218380dex102.htm AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN Exhibit 10.2 FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN (Approved by Shareholders February 24, 2010) FINANCIAL ENGINES, INC. AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN Table of Contents Page SECTION 1. ESTABLISHMENT AND PURPOSE 1 SECTION 2. DEFINITIONS 1 (a) “Affiliate” 1 (b) “Award” 1 (c) “B

Financial Engines Reports Fourth Quarter and Full Year 2011 Financial Results AUM Grows 26% Year Over Year Q4 Revenue Grows 24% Year Over Year Q4 Adjusted EBITDA Grows 31% Year Over Year

Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Asma Emneina Don Duffy (650) 565-7791 (650) 565-7740 [email protected] [email protected] Financial Engines Reports Fourth Quarter and Full Year 2011 Financial Results AUM Grows 26% Year Over Year Q4 Revenue Grows 24% Year Over Year Q4 Adjusted EBITDA Grows 31% Year Over Year PALO ALTO, Calif. – February 21, 2012 – Financial E

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 21, 2012 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation)

FNGN / Financial Engines, Inc. / BAMCO INC /NY/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 01)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485100 (CUSIP Number) Calendar Year 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan

FNGN / Financial Engines, Inc. / OAK HILL CAPITAL PARTNERS L P - FINANCIAL ENGINES, INC. SCHEDULE 13G, AMENDMENT NO. 1 Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 1)* Financial Engines, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 317485 100 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of This Statement) Check the appropriate box t

FNGN / Financial Engines, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - FNGN AS OF 12/31/11 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* FINANCIAL ENGINES INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2011 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedu

FNGN / Financial Engines, Inc. / FOUNDATION CAPITAL LP - SC 13G/A Passive Investment

SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Financial Engines, Inc. (Name of issuer) Common Stock, par value $0.0001 per share (Title of class of securities) 317485100 (CUSIP number) December 31, 2011 (Date of event which requires filing of this statement) Check the appropriate box to des

FNGN / Financial Engines, Inc. / OAK HILL CAPITAL PARTNERS L P - AMENDMENT NO. 2 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2)* Under the Securities Exchange Act of 1934 Financial Engines, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 317485100 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 htm44019.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 17, 2012 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdicti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 18, 2011 Financial Engin

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 18, 2011 Financial Engines, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34636 94-3250323 (State or other jurisdiction of incorporation)