SEC Form 4 · accession 0001209191-15-080749
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond J. Sims
Officer — EVP, CFO & Chief Risk Officer
Period of report
Nov 16, 2015
Accepted (ET)
Nov 17, 2015 · 7:46 pm EST
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 | Nov 16, 2015 | M | 1,940 | $0.00 | A | 7,432 | D | |
| Common Stock | Nov 16, 2015 | F | 730 | $33.53 | D | 6,702 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | $0.00 | Nov 16, 2015 | M | 1,940 | D | — | — | Common Stock | 1,940 | 1,940 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F2The restricted stock units vest in four equal installments beginning 11/16/13.
- F3No Expiration date.