SEC Form 4 · accession 0001209191-16-115401
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Jerome Campbell
Officer — EVP, Technology
Period of report
Apr 21, 2016
Accepted (ET)
Apr 22, 2016 · 7:49 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 | Apr 21, 2016 | M | 5,551 | $6.51 | A | 40,001 | D | |
| Common Stock | Apr 21, 2016 | S | 5,551 | $33.40 | D | 34,450 | 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)F2 | $6.51 | Apr 21, 2016 | M | 5,551 | D | — | Nov 11, 2018 | Common Stock | 5,551 | 7,453 | 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 May 22, 2015.
- F2The option award was fully vested.