SEC Form 4 · accession 0001209191-16-121048
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul G Koontz
Director
Period of report
May 15, 2016
Accepted (ET)
May 17, 2016 · 7:31 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 | 1,223 | $0.00 | A | 8,727 | D | |
| Common Stock | May 16, 2016 | M | 1,250 | $0.00 | A | 9,977 | D | |
| Common StockF1 | holding | — | — | — | 6,000 | I | By Koontz Investments, LP Fund 3 | |
| Common StockF2 | holding | — | — | — | 8,000 | I | By the Koontz Revocable Trust Dated 6/29/1998 | |
| Common Stock | holding | — | — | — | 13,276 | I | Koontz Investments, LP Fund 2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF3,F4,F5 | $0.00 | May 15, 2016 | M | 1,223 | D | — | — | Common Stock | 1,223 | 3,671 | D |
| Restricted StockF3,F6,F5 | $0.00 | May 16, 2016 | M | 1,250 | D | — | — | Common Stock | 1,250 | 0 | D |
Explanation of responses
- F1Shares held by Koontz Investments, LP Fund 3. Paul G. Koontz is a General Partner of Koontz Investments, LP Fund 3 and disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein.
- F2Shares held by Paul G. Koontz as Trustee of the Koontz Revocable Trust Dated 06/29/1998.
- F3Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F4The Restricted Stock units vest in four equal installments beginning 5/15/16.
- F5No expiration date.
- F6The Restricted Stock units vest in four equal annual installments beginning 5/16/13.