SEC Form 4 · accession 0001209191-15-043495
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Tuttle Cappel
Officer — EVP & General Counsel
Period of report
May 14, 2015
Accepted (ET)
May 15, 2015 · 8:03 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 14, 2015 | M | 320 | $6.51 | A | 9,069 | D | |
| Common Stock | May 14, 2015 | M | 3,710 | $21.39 | A | 12,779 | D | |
| Common Stock | May 14, 2015 | S | 4,030 | $40.91 | D | 8,749 | 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 | May 14, 2015 | M | 320 | D | — | Nov 11, 2018 | Common Stock | 320 | 0 | D |
| Employee Stock Option (Right to Buy)F3 | $21.39 | May 14, 2015 | M | 3,710 | D | — | Nov 18, 2021 | Common Stock | 3,710 | 16,000 | 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 March 4, 2015
- F2The option award is fully vested.
- F3The option award vests as to 4,927 shares on 11/18/12, and the remaining shares vest monthly thereafter from 12/18/12 to 11/18/15