SEC Form 4 · accession 0001209191-15-046880
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul G Koontz
Director
Period of report
May 21, 2015
Accepted (ET)
May 26, 2015 · 6:15 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 21, 2015 | M | 1,254 | $0.00 | A | 6,254 | D | |
| Common Stock | May 22, 2015 | M | 1,250 | $0.00 | A | 7,504 | D | |
| Common StockF1 | holding | — | — | — | 6,638 | I | By Paul Koontz 2010 Annuity Trust | |
| Common StockF2 | holding | — | — | — | 6,638 | I | By Andrea Koontz 2010 Annuity Trust | |
| Common StockF3 | holding | — | — | — | 6,000 | I | By Koontz Investments, LP Fund 3 | |
| Common StockF4 | holding | — | — | — | 8,000 | I | By the Koontz Revocable Trust Dated 6/29/1998 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F6,F7 | $0.00 | May 22, 2015 | M | 1,250 | D | — | — | Common Stock | 1,250 | 2,500 | D |
| Restricted Stock UnitsF5,F8,F7 | $0.00 | May 21, 2015 | M | 1,254 | D | — | — | Common Stock | 1,254 | 3,764 | D |
Explanation of responses
- F1Shares held by Paul G. Koontz as Trustee of the Paul Koontz 2010 Annuity Trust.
- F2Spouse of Paul G. Koontz, Andrea Koontz is the Trustee of the Andrea Koontz 2010 Annuity Trust. Mr. Koontz disclaims beneficial ownership of the reported securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F3Shares held by Koontz Investments, LP Fund 3. Paul G. Koontz is a General Partner of Koontz Investments, LP Fund 3 and disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein.
- F4Shares held by Paul G. Koontz as Trustee of the Koontz Revocable Trust Dated 06/29/1998.
- F5Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F6The Restricted Stock units vest in four equal installments annually beginning 5/22/14.
- F7No expiration date.
- F8The Restricted Stock units vest in four equal installments annually beginning 5/21/15.