SEC Form 4 · accession 0001209191-15-061707
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence M. Raffone
Officer — President & CEO · Director
Period of report
Jul 17, 2015
Accepted (ET)
Jul 20, 2015 · 5:22 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 17, 2015 | M | 5,000 | $7.50 | A | 13,374 | D | |
| Common Stock | Jul 17, 2015 | S | 5,000 | $45.00 | D | 8,374 | 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 | $7.50 | Jul 17, 2015 | M | 5,000 | D | — | Sep 16, 2016 | Common Stock | 5,000 | 23,667 | 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 May 12, 2015.
- F2The option award is fully vested.