Document:

exv10w13

Exhibit 10.13

Executives

FINANCIAL ENGINES, INC.

2009 STOCK INCENTIVE PLAN

NOTICE OF RESTRICTED STOCK AWARD

     You have been granted the following Restricted Stock Award (“RSA”) of Common Stock of
FINANCIAL ENGINES, INC. (the “Company”) under the Company’s 2009 Stock Incentive Plan (the “Plan”):

	 	 	 
	Date of Grant:

	 	[Date of Grant]
	 
	 	 
	Name of Recipient:

	 	[Name of Recipient]
	 
	 	 
	Total Number of Shares
Subject to the RSA:

	 	[Total Shares]
	 
	 	 
	Fair Market Value per Share:

	 	$[Value Per Share]
	 
	 	 
	Total Fair Market Value
Of Award:

	 	$[Total Value]
	 
	 	 
	Vesting Commencement Date:

	 	[_________]
	 
	 	 
	Vesting Schedule:

	 	[1/8th of the Shares subject to
this Award vest when you complete each
three-month period of continuous Service as
an Employee or a Consultant from the Vesting
Commencement Date.] Notwithstanding the
foregoing, upon the consummation of a Change
in Control, the vesting of the Shares subject
to this Award shall accelerate with respect
to that number of Shares that would have
vested during the twelve (12) months
following the consummation of the Change in
Control.

     By your signature and the signature of the Company’s representative below, you and the
Company agree that this RSA is granted under and governed by the term and conditions of the Plan
and the Restricted Stock Award Agreement (the “Agreement”), both of which are attached to and made
a part of this document.

     By signing this document you further agree that the Company may deliver by e-mail all
documents relating to the Plan or this Award (including without limitation, prospectuses required
by the Securities and Exchange Commission) and all other documents that the Company is required to
deliver to its security holders (including without limitation, annual reports and proxy
statements). You also agree that the Company may deliver these documents by posting them on a
website maintained by the Company or by a third party under contract with the Company. If the
Company posts these documents on a website, it will notify you by e-mail.

FINANCIL ENGINES, INC.

NOTICE OF RESTRICTED STOCK AWARD

- 1 -

 

	 	 	 	 	 	 	 	 	 
	[NAME OF RECIPIENT]	 	 	 	FINANCIAL ENGINES, INC.	 	 
	 
	 	 	 	 	 	 	 	 
	 	 	 
	 	By:	 	 	 	 
	 

	 	 	 	 	 	 

	 	 
	 
	 	 	 	 	 	 	 	 
	 

	 	 	 	Title:	 	 	 	 
	 

	 	 	 	 	 	 

	 	 

FINANCIL ENGINES, INC.

NOTICE OF RESTRICTED STOCK AWARD

- 2 -

 

FINANCIAL ENGINES, INC.

2009 STOCK INCENTIVE PLAN

RESTRICTED STOCK AWARD AGREEMENT

	 	 	 
	Payment For RSA

	 	No cash payment is required for the
RSA you receive. You are receiving
the RSA in consideration for
Services rendered by you.
	 
	 	 
	Vesting

	 	The Shares subject to the RSA that
you are receiving will vest in
installments, as shown in the Notice
of Restricted Stock Award.
	 
	 	 
	 

	 	No additional Shares subject to the
RSA vest after your Service as an
Employee or a Consultant has
terminated for any reason.
	 
	 	 
	Shares Restricted

	 	Unvested Shares subject to the RSA
will be considered “Restricted
Shares.” Except to the extent
permitted by the Committee, you may
not sell, transfer, assign, pledge
or otherwise dispose of Restricted
Shares.
	 
	 	 
	Forfeiture

	 	If your Service terminates for any
reason, then your Shares subject to
the RSA will be forfeited to the
extent that they have not vested
before the termination date and do
not vest as a result of termination.
This means that the Restricted
Shares will immediately revert to
the Company. You receive no payment
for Restricted Shares that are
forfeited. The Company determines
when your Service terminates for
this purpose and all purposes under
the Plan and its determinations are
conclusive and binding on all
persons.
	 
	 	 
	Leaves Of Absence

	 	For purposes of this Award, your
Service does not terminate when you
go on a military leave, a sick leave
or another bona fide leave of
absence, if the leave was approved
by the Company in writing and if
continued crediting of Service is
required by the terms of the leave
or by applicable law. But your
Service terminates when the approved
leave ends, unless you immediately
return to active work.
	 
	 	 
	Stock Certificates

	 	The certificates for the Restricted
Shares have stamped on them a
special legend referring to the
forfeiture restrictions. In
addition to or in lieu of imposing
the legend, the Company may hold the
certificates in escrow. As your
vested percentage increases, you may
request (at reasonable intervals)
that the Company release to you a
non-legended certificate for your
vested Shares subject to the RSA.
	 
	 	 
	Shareholder Rights

	 	During the period of time between
the date of grant and the date the
Restricted Shares become vested, you
shall have all the rights of a
shareholder with respect to the
Restricted Shares except for the
right to transfer the Restricted
Shares, as set forth above.
Accordingly, you shall have the
right to vote the Restricted Shares
and to receive any

FINANCIL ENGINES, INC.

RESTRICTED STOCK AWARD AGREEMENT

- 1 -

 

	 	 	 
	 

	 	cash dividends
paid with respect to the Restricted
Shares.
	 
	 	 
	Withholding Taxes

	 	No Shares will be released to you
unless you have made arrangements
acceptable to the Company to pay
withholding taxes that may be due as
a result of this Award or the
vesting of the Shares. These
arrangements, at the sole discretion
of the Company, may include (a)
having the Company withhold taxes
from the proceeds of the sale of the
Shares, either through a voluntary
sale or through a mandatory sale
arranged by the Company (on your
behalf pursuant to this
authorization), (b) having the
Company withhold Shares that
otherwise would be released to you
when they vest having a Fair Market
Value equal to the amount necessary
to satisfy the minimum statutory
withholding amount, or (c) any other
arrangement approved by the Company.
The Fair Market Value of any Shares
withheld, determined as of the date
when taxes otherwise would have been
withheld in cash, will be applied as
a credit against the withholding
taxes. You also authorize the
Company, or your actual employer, to
satisfy all withholding obligations
of the Company or your actual
employer with respect to this Award
from your wages or other cash
compensation payable to you by the
Company or your actual employer.
	 
	 	 
	Restrictions On Resale

	 	You agree not to sell any Shares at
a time when applicable laws, Company
policies or an agreement between the
Company and its underwriters
prohibit a sale. This restriction
will apply as long as your Service
continues and for such period of
time after the termination of your
Service as the Company may specify.
	 
	 	 
	No Retention Rights

	 	Neither your Award nor this
Agreement gives you the right to be
employed or retained by the Company
or a subsidiary of the Company in
any capacity. The Company and its
subsidiaries reserve the right to
terminate your Service at any time,
with or without cause.
	 
	 	 
	Adjustments

	 	In the event of a stock split, a
stock dividend or a similar change
in Company Shares, or a merger or a
reorganization of the Company, the
forfeiture provisions described
above will apply to all new,
substitute or additional securities
or other assets to which you are
entitled by reason of your ownership
of the Shares.
	 
	 	 
	Successors and Assigns

	 	Except as otherwise provided in the
Plan or this Agreement, every term
of this Agreement shall be binding
upon and inure to the benefit of the
parties hereto and their respective
heirs, legatees, legal
representatives, successors,
transferees and assigns.
	 
	 	 
	Notice

	 	Any notice required or permitted
under this Agreement shall be given
in writing and shall be deemed
effectively given upon the earliest of

FINANCIL ENGINES, INC.

RESTRICTED STOCK AWARD AGREEMENT

- 2 -

 

	 	 	 
	 

	 	personal delivery, receipt or the
third full day following mailing
with postage and fees prepaid,
addressed to the other party hereto
at the address last known in the
Company’s records or at such other
address as such party may designate
by ten (10) days’ advance written
notice to the other party hereto.
	 
	 	 
	Applicable Law

	 	This Agreement will be interpreted
and enforced under the laws of the
State of Delaware (without regard to
their choice-of-law provisions).
	 
	 	 
	The Plan and Other Agreements

	 	The text of the Plan is incorporated
in this Agreement by reference. All
capitalized terms in this Agreement
shall have the meanings assigned to
them in the Plan. This Agreement and
the Plan constitute the entire
understanding between you and the
Company regarding this Award. Any
prior agreements, commitments or
negotiations concerning this Award
are superseded. This Agreement may
be amended by the Committee without
your consent; however, if any such
amendment would materially impair
your rights or obligations under the
Agreement, this Agreement may be
amended only by another written
agreement, signed by you and the
Company.

BY SIGNING THE COVER SHEET OF THIS AGREEMENT,

YOU AGREE TO ALL OF THE TERMS AND CONDITIONS

DESCRIBED ABOVE AND IN THE PLAN.

FINANCIL ENGINES, INC.

RESTRICTED STOCK AWARD AGREEMENT

- 3 -exv10w14

Exhibit 10.14

FINANCIAL
ENGINES, INC.

2009 STOCK INCENTIVE PLAN

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 2009 Stock Incentive Plan (the
“Plan”).

	 	 	 	 	 
	 

	 	Name of Participant:	 	 
	 

	 	 	 	 
	 
	 	 	 	 
	 

	 	Total Number of RSUs Granted:	 	 
	 

	 	 	 	 
	 
	 	 	 	 
	 

	 	Date of Grant:
	 	                                                             ,                     
	 
	 	 	 	 
	 

	 	Vesting Commencement Date:
	 	                                                             ,                     
	 
	 	 	 	 
	 

	 	Vesting Schedule:
	 	[1/8th of the RSUs subject to this Award vest when you complete
each three-month period of continuous Service as an Employee or a Consultant from the
Vesting Commencement Date.]

     By your signature and the signature of the Company’s representative below, you and the
Company agree that these RSUs are granted under and governed by the term and conditions of the Plan
and the RSU Agreement (the “Agreement”), both of which are attached to and made a part of this
document.

     By signing this document you further agree that the Company may deliver by e-mail all
documents relating to the Plan or this Award (including without limitation, prospectuses required
by the Securities and Exchange Commission) and all other documents that the Company is required to
deliver to its security holders (including without limitation, annual reports and proxy
statements). You also agree that the Company may deliver these documents by posting them on a
website maintained by the Company or by a third party under contract with the Company. If the
Company posts these documents on a website, it will notify you by e-mail.

	 	 	 	 	 	 	 
	[NAME OF PARTICIPANT]	 	FINANCIAL ENGINES, INC.	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 
	 	 

	 	 
	 

	 	Its:	 	 	 	 
	 

Print Name

	 	 
	 	 

	 	 

 

 

FINANCIAL ENGINES, INC.

2009 STOCK INCENTIVE PLAN

RSU AGREEMENT

	 	 	 
	Payment for RSUs

	 	No cash payment is required for the RSUs you receive.
You are receiving the RSUs in consideration for
Services rendered by you.
	 
	 	 
	Vesting

	 	The RSUs that you are receiving will vest in
installments, as shown in the Notice of RSU Award.

No additional RSUs vest after your Service as an
Employee or a Consultant has terminated for any
reason.
	 
	 	 
	Forfeiture

	 	If your Service terminates for any reason, then your
Award expires immediately as to the number of RSUs
that have not vested before the termination date and
do not vest as a result of termination.

This means that the unvested RSUs will immediately be
cancelled. You receive no payment for RSUs that are
forfeited.

The Company determines when your Service terminates
for this purpose and all purposes under the Plan and
its determinations are conclusive and binding on all
persons.
	 
	 	 
	Leaves of Absence

	 	For purposes of this Award, your Service does not
terminate when you go on a military leave, a sick
leave or another bona fide leave of absence, if the
leave of absence was approved by the Company in
writing and if continued crediting of Service is
required by the terms of the leave or by applicable
law. But your Service terminates when the approved
leave ends, unless you immediately return to active
work.
	 
	 	 
	Nature of RSUs

	 	Your RSUs are mere bookkeeping entries. They represent
only the Company’s unfunded and unsecured promise to
issue Shares on a future date. As a holder of RSUs,
you have no rights other than the rights of a general
creditor of the Company.
	 
	 	 
	No Voting Rights or 

Dividends

	 	Your RSUs carry neither voting rights nor rights to
dividends. You, or your estate or heirs, have no
rights as a stockholder of the Company unless and
until your RSUs are settled by issuing Shares. No
adjustments will be made for dividends or other rights
if the applicable record date occurs before your
Shares are issued, except as described in the Plan.

-1-

 

	 	 	 
	RSUs Nontransferable

	 	You may not sell, transfer, assign, pledge or
otherwise dispose of any RSUs. For instance, you may
not use your RSUs as security for a loan. If you
attempt to do any of these things, your RSUs will
immediately become invalid.
	 
	 	 
	Settlement of RSUs

	 	Each of your vested RSUs will be settled when it vests.

At the time of settlement, you will receive one Share
for each vested RSU; provided, however, that no
fractional Shares will be issued or delivered pursuant
to the Plan or this Agreement, and the Committee will
determine whether cash will be paid in lieu of any
fractional Share or whether such fractional Share and
any rights thereto will be canceled, terminated or
otherwise eliminated. In addition, the Shares are
issued to you subject to the condition that the
issuance of the Shares not violate any law or
regulation.
	 
	 	 
	Withholding Taxes and

Stock Withholding

	 	 No Shares will be distributed to you unless you have
made arrangements acceptable to the Company to pay
withholding taxes that may be due as a result of this
Award or the settlement of the RSUs. These
arrangements, at the sole discretion of the Company,
may include (a) having the Company withhold taxes from
the proceeds of the sale of the Shares, either through
a voluntary sale or through a mandatory sale arranged
by the Company (on your behalf pursuant to this
authorization), (b) having the Company withhold Shares
that otherwise would be distributed to you when the
RSUs are settled having a Fair Market Value equal to
the amount necessary to satisfy the minimum statutory
withholding amount, or (c) any other arrangement
approved by the Company. The Fair Market Value of any
Shares withheld, determined as of the date when taxes
otherwise would have been withheld in cash, will be
applied as a credit against the withholding taxes.
You also authorize the Company, or your actual
employer, to satisfy all withholding obligations of
the Company or your actual employer with respect to
this Award from your wages or other cash compensation
payable to you by the Company or your actual employer.
	 
	 	 
	Restrictions on Resale

	 	You agree not to sell any Shares at a time when
applicable laws, Company policies or an agreement
between the Company and its underwriters prohibit a
sale. This restriction will apply as long as your
Service continues and for such period of time after
the termination of your Service as the Company may
specify.
	 
	No Retention Rights

	 	Neither your Award nor this Agreement gives you the
right to be employed or retained by the Company or a
subsidiary of the Company in any capacity. The Company
and its subsidiaries reserve the right to terminate
your Service at any time, with or without

-2-

 

	 	 	 
	 
	 	 
	 	 	cause.
	 	 	 
	Adjustments

	 	In the event of a stock split, a stock dividend or a
similar change in Company Shares, the number of RSUs
covered by this Award shall be adjusted pursuant to
the Plan.
	 
	 	 
	Successors and Assigns

	 	Except as otherwise provided in the Plan or this
Agreement, every term of this Agreement shall be
binding upon and inure to the benefit of the parties
hereto and their respective heirs, legatees, legal
representatives, successors, transferees and assigns.
	 
	 	 
	Notice

	 	Any notice required or permitted under this Agreement
shall be given in writing and shall be deemed
effectively given upon the earliest of personal
delivery, receipt or the third full day following
mailing with postage and fees prepaid, addressed to
the other party hereto at the address last known in
the Company’s records or at such other address as such
party may designate by ten (10) days’ advance written
notice to the other party hereto.
	 
	 	 
	Applicable Law

	 	This Agreement will be interpreted and enforced under
the laws of the State of Delaware (without regard to
their choice-of-law provisions).
	 
	 	 
	The Plan and Other

Agreements

	 	The text of the Plan is incorporated in this Agreement
by reference. All capitalized terms in this Agreement
shall have the meanings assigned to them in the Plan.
This Agreement and the Plan constitute the entire
understanding between you and the Company regarding
this Award. Any prior agreements, commitments or
negotiations concerning this Award are superseded.
This Agreement may be amended by the Committee without
your consent; however, if any such amendment would
materially impair your rights or obligations under the
Agreement, this Agreement may be amended only by
another written agreement, signed by you and the
Company.

BY SIGNING THE COVER SHEET OF THIS AGREEMENT,

YOU AGREE TO ALL OF THE TERMS AND CONDITIONS

DESCRIBED ABOVE AND IN THE PLAN.

-3-

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00167-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00167-of-00352.parquet"}]]