SEC Form 4 · accession 0001209191-16-087954
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Peter Costello
Officer — EVP, Service Delivery
Period of report
Dec 31, 2015
Accepted (ET)
Jan 4, 2016 · 6:00 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 | Dec 31, 2015 | M | 4,675 | $0.00 | A | 10,338 | D | |
| Common Stock | Dec 31, 2015 | F | 1,518 | $33.67 | D | 8,820 | 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 | $0.00 | Dec 31, 2015 | M | 4,675 | D | Dec 31, 2015 | — | Common Stock | 4,675 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F2No Expiration date.