SEC Form 4 · accession 0001209191-15-018652
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Shoven
Director
Period of report
Feb 24, 2015
Accepted (ET)
Feb 25, 2015 · 5:09 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 24, 2015 | M | 10,000 | $8.75 | A | 13,750 | D | |
| Common Stock | Feb 24, 2015 | S | 10,000 | $40.38 | D | 3,750 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy)F1 | $8.75 | Feb 24, 2015 | M | 10,000 | D | — | Jan 26, 2020 | Common Stock | 10,000 | 7,500 | D |
Explanation of responses
- F1The option award vests as to 12,500 shares on 1/26/11, and the remaining shares vest monthly thereafter from 02/26/11 to 01/26/14.