SEC Form 4 · accession 0001209191-15-042798
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Gamble
Officer — EVP, Distrib & Inst Services
Period of report
May 13, 2015
Accepted (ET)
May 14, 2015 · 4:22 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 | holding | — | — | — | 11,593 | 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 UnitsF1,F2,F3 | $0.00 | May 13, 2015 | A | 21,105 | A | — | — | Common Stock | 21,105 | 21,105 | D |
| Employee Stock Option NQ (Right to Buy)F4 | $40.90 | May 13, 2015 | A | 58,383 | A | — | May 13, 2025 | Common Stock | 58,383 | 58,383 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F2The restricted stock units vest in two annual installments beginning 5/15/16.
- F3No Expiration date.
- F4The option award vests as to 14,595 shares on 4/6/16, and the remaining shares vest monthly thereafter from 5/6/16 to 4/6/19.