SEC Form 4 · accession 0001209191-15-026062
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Jerome Campbell
Officer — EVP, Technology
Period of report
Mar 12, 2015
Accepted (ET)
Mar 13, 2015 · 4:28 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 12, 2015 | M | 2,470 | $6.51 | A | 46,892 | D | |
| Common Stock | Mar 12, 2015 | S | 2,470 | $44.95 | D | 44,422 | 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 | $6.51 | Mar 12, 2015 | M | 2,470 | D | — | Nov 11, 2018 | Common Stock | 2,470 | 27,170 | 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 23, 2014.
- F2The option award was fully vested.