SEC Form 4 · accession 0001209191-15-041702
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond J. Sims
Officer — EVP and CFO
Period of report
May 11, 2015
Accepted (ET)
May 12, 2015 · 4:39 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 | May 11, 2015 | M | 10,000 | $21.39 | A | 12,961 | D | |
| Common Stock | May 11, 2015 | M | 5,000 | $26.22 | A | 17,961 | D | |
| Common StockF2 | May 11, 2015 | S | 15,000 | $41.7657 | D | 2,961 | 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 Options (Right to Buy)F3 | $21.39 | May 11, 2015 | M | 10,000 | D | — | Nov 18, 2021 | Common Stock | 10,000 | 9,420 | D |
| Employee Stock Options (Right to BuyF4 | $26.22 | May 11, 2015 | M | 5,000 | D | — | Nov 16, 2022 | Common Stock | 5,000 | 30,100 | 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 February 25, 2015.
- F2The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $41.38 to $42.01 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The option award vests as to 9,855 shares on 11/18/12, and the remaining shares vest monthly thereafter from 12/18/12 to 11/18/15.
- F4The option award vests as to 11,275 shares on 11/16/13, and the remaining shares vest monthly thereafter from 12/16/13 to 11/16/16.