SEC Form 4 · accession 0001209191-15-052855

Financial Engines, Inc. · FNGN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP and CFO

Period of report

Jun 11, 2015

Accepted (ET)

Jun 12, 2015 · 5:10 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
Common Stock	Jun 11, 2015	M	3,000	$21.39	A	5,961	D
Common Stock	Jun 11, 2015	M	11,000	$26.22	A	16,961	D
Common Stock^F2	Jun 11, 2015	S	14,000	$43.2984	D	2,961	D

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	Jun 11, 2015	M	3,000	D	—	Nov 18, 2021	Common Stock	3,000	6,420	D
Employee Stock Options (Right to Buy^F4	$26.22	Jun 11, 2015	M	11,000	D	—	Nov 16, 2022	Common Stock	11,000	19,100	D

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 $43.07 to $43.79 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.