SEC Form 4 · accession 0001209191-15-077005
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
Oct 26, 2015
Accepted (ET)
Oct 27, 2015 · 6:31 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 | Oct 26, 2015 | M | 13,333 | $7.50 | A | 75,648 | D | |
| Common Stock | Oct 27, 2015 | M | 15,360 | $6.51 | A | 91,008 | 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)F1 | $7.50 | Oct 26, 2015 | M | 13,333 | D | — | Sep 19, 2016 | Common Stock | 13,333 | 0 | D |
| Employee Stock Option (Right to Buy)F1 | $6.51 | Oct 27, 2015 | M | 15,360 | D | — | Nov 11, 2018 | Common Stock | 15,360 | 0 | D |
Explanation of responses
- F1The option award is fully vested.