SEC Form 4 · accession 0001209191-15-024175
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
Mar 5, 2015
Accepted (ET)
Mar 9, 2015 · 5:30 pm EDT
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 | Mar 5, 2015 | M | 1,250 | $0.00 | A | 9,529 | D | |
| Common Stock | Mar 5, 2015 | S | 1,250 | $41.70 | D | 8,279 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $23.64 | Mar 5, 2015 | M | 1,250 | D | — | Mar 15, 2021 | Common Stock | 1,250 | 2,084 | 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.
- F2This option award vests as to 2,500 shares on 03/15/2012 and the remaining shares vest monthly thereafter from 04/15/12 to 03/15/15