Edgar Filing: BARRIS PETER J

Ownership Submission

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

Â BARRIS PETER J

2. Date of Event Requiring Statement (Month/Day/Year)
03/15/2010

3. Issuer Name and Ticker or Trading Symbol
Financial Engines, Inc. [FNGN]

(Last)

(First)

(Middle)

1954 GREENSPRING DRIVE,Â SUITE 600

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

_____ Director	__X__ 10% Owner
_____ Officer (give title below)	_____ Other (specify below)

5. If Amendment, Date Original Filed(Month/Day/Year)

(Street)

TIMONIUM,Â MDÂ 21093

6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Beneficially Owned

1.Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	947,513	I	See Note 1 ⁽¹⁾
Common Stock	590,667	I	See Note 2 ⁽²⁾

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.			SEC 1473 (7-02)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security		6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series A Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	33,333	$ ⁽⁵⁾	I	See Note 2 ⁽²⁾
Series B Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	1,157,964	$ ⁽⁵⁾	I	See Note 1 ⁽¹⁾
Series B Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	40,069	$ ⁽⁵⁾	I	See Note 6 ⁽⁶⁾
Series C Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	395,899	$ ⁽⁵⁾	I	See Note 1 ⁽¹⁾
Series D Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	532,426	$ ⁽⁵⁾	I	See Note 1 ⁽¹⁾
Series D Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	9,024	$ ⁽⁵⁾	I	See Note 6 ⁽⁶⁾
Series E Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	109,026	$ ⁽⁵⁾	I	See Note 1 ⁽¹⁾
Series F Preferred Stock	Â ⁽³⁾	Â ⁽⁴⁾	Common Stock	925,429	$ ⁽⁵⁾	I	See Note 1 ⁽¹⁾

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
BARRIS PETER J 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM,Â MDÂ 21093	Â	Â X	Â	Â

Signatures

/s/ Shawn Conway, attorney-in-fact		03/15/2010
^**Signature of Reporting Person		Date

Explanation of Responses:

*	If the form is filed by more than one reporting person, see Instruction 5(b)(v).
**	Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1)	The Reporting Person is a general partner of NEA Partners VII, Limited Partnership, the sole general partner of New Enterprise Associates VII, Limited Partnership ("New Enterprise Associates VII"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "1934 Act"), or otherwise of the securities of the issuer held by New Enterprise Associates VII in which the Reporting Person has no pecuniary interest therein.
(2)	The Reporting Person is a general partner of NEA Partners 9, Limited Partnership, the sole general partner of New Enterprise Associates 9, Limited Partnership ("NEA 9"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act or otherwise of the securities of the issuer held by NEA 9 in which the Reporting Person has no pecuniary interest therein.
(3)	Convertible at any time.
(4)	No expiration date.
(5)	Each share of Preferred Stock will automatically convert into one share of Common Stock upon the closing of the issuer's initial public offering.
(6)	The Reporting Person is a general partner of NEA General Partners, L.P., the sole general partner of NEA Presidents' Fund, L.P. ("NEA Presidents' Fund"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act or otherwise of the securities of the issuer held by NEA Presidents' Fund in which the Reporting Person has no pecuniary interest therein.

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