SEC Form 4 · accession 0001209191-16-103540
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Tuttle Cappel
Officer — EVP, General Counsel
Period of report
Feb 26, 2016
Accepted (ET)
Feb 29, 2016 · 6:58 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 | Feb 26, 2016 | M | 894 | $0.00 | A | 12,394 | D | |
| Common Stock | Feb 26, 2016 | F | 336 | $24.59 | D | 12,061 | 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 UnitF2,F3,F4,F5 | $0.00 | Feb 26, 2016 | M | 894 | D | — | — | Common Stock | 894 | 1,788 | 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 March 4, 2015
- F2Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F3The option award vests as to 4,927 shares on 11/18/12, and the remaining shares vest monthly thereafter from 12/18/12 to 11/18/15
- F4The restricted stock units vest in four equal annual installments beginning 2/26/15.
- F5No expiration date.