SEC Form 4 · accession 0001209191-16-087953

Financial Engines, Inc. · FNGN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, Technology

Period of report

Dec 31, 2015

Accepted (ET)

Jan 4, 2016 · 5:59 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
Common Stock	Dec 31, 2015	M	5,551	$6.51	A	35,041	D
Common Stock^F2	Dec 31, 2015	S	5,551	$34.0249	D	29,490	D
Common Stock	Dec 31, 2015	M	4,675	$0.00	A	34,165	D
Common Stock	Dec 31, 2015	F	1,757	$33.67	D	32,408	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F3	$6.51	Dec 31, 2015	M	5,551	D	—	Nov 11, 2018	Common Stock	5,551	13,004	D
Restricted Stock Units^F4,F5	$0.00	Dec 31, 2015	M	4,675	D	Dec 31, 2015	—	Common Stock	4,675	0	D

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 price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $33.79 to $34.46 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3The option award was fully vested.
F4Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
F5No Expiration date.