SEC Form 4 · accession 0001209191-16-121032
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Gamble
Officer — EVP, Distrib & Inst Services
Period of report
May 15, 2016
Accepted (ET)
May 17, 2016 · 7:01 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 | May 15, 2016 | M | 10,553 | $0.00 | A | 18,321 | D | |
| Common Stock | May 15, 2016 | F | 3,436 | $26.20 | D | 14,885 | 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 | May 15, 2016 | M | 10,553 | A | — | — | Common Stock | 10,553 | 10,552 | 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 two annual installments beginning 5/15/16.
- F3No Expiration date.