SEC Form 4 · accession 0001209191-15-010878
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelly O'Donnell
Officer — EVP Marketing
Period of report
Feb 6, 2015
Accepted (ET)
Feb 9, 2015 · 5:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001430592
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 6, 2015 | M | 2,272 | $21.72 | A | 13,233 | D | |
| Common StockF1 | Feb 6, 2015 | S | 1,250 | $39.16 | D | 11,983 | D | |
| Common StockF1 | Feb 6, 2015 | S | 3,522 | $40.04 | D | 8,461 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $21.39 | Feb 6, 2015 | M | 2,272 | D | — | Nov 18, 2021 | Common Stock | 2,272 | 1,667 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 2014.
- F2The option award vests as to 1817 shares on 11/18/2012, and the remaining shares vest monthly thereafter from 12/18/2013 to 11/18/2015.