SEC Form 4 · accession 0001209191-15-065388
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Jerome Campbell
Officer — EVP, Technology
Period of report
Aug 10, 2015
Accepted (ET)
Aug 11, 2015 · 7:27 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 | Aug 10, 2015 | M | 3,889 | $7.50 | A | 49,076 | D | |
| Common Stock | Aug 10, 2015 | M | 417 | $7.50 | A | 49,493 | D | |
| Common Stock | Aug 10, 2015 | S | 9,857 | $40.45 | D | 39,636 | 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 | Aug 10, 2015 | M | 3,889 | D | — | Mar 24, 2016 | Common Stock | 3,889 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $7.50 | Aug 10, 2015 | M | 417 | D | — | Mar 24, 2016 | Common Stock | 417 | 12,916 | 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 22, 2015.
- F2The option award was fully vested.