SEC Form 4 · accession 0001209191-15-061574
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher L. Jones
Officer — EVP & Chief Investment Officer
Period of report
Jul 16, 2015
Accepted (ET)
Jul 17, 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 | Jul 16, 2015 | M | 7,500 | $7.99 | A | 69,815 | D | |
| Common Stock | Jul 16, 2015 | S | 7,500 | $43.73 | D | 62,315 | 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 | $7.99 | Jul 16, 2015 | M | 7,500 | D | — | Nov 9, 2019 | Common Stock | 7,500 | 44,985 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 3, 2015.
- F2The option award is fully vested.