SEC Form 4 · accession 0001209191-15-051605
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
Jun 8, 2015
Accepted (ET)
Jun 9, 2015 · 6:45 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 | Jun 8, 2015 | M | 4,000 | $26.22 | A | 12,749 | D | |
| Common Stock | Jun 8, 2015 | S | 4,000 | $44.88 | 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 | $26.22 | Jun 8, 2015 | M | 4,000 | D | — | Nov 16, 2022 | Common Stock | 4,000 | 20,290 | 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 vests as to 6,072 shares on 11/16/13, and the remaining shares vest monthly thereafter from 12/16/13 to 11/16/16.