SEC Form 4 · accession 0001209191-16-122995
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
E. Olena Berg-Lacy
Director
Period of report
May 21, 2016
Accepted (ET)
May 24, 2016 · 5:35 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 21, 2016 | M | 1,254 | $0.00 | A | 9,356 | D | |
| Common Stock | May 22, 2016 | M | 1,250 | $0.00 | A | 10,606 | 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 21, 2016 | M | 1,254 | D | — | — | Common Stock | 1,254 | 2,510 | D |
| Restricted Stock UnitsF1,F4,F3 | $0.00 | May 22, 2016 | M | 1,250 | D | — | — | Common Stock | 1,250 | 1,250 | 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 four equal installments beginning 5/21/15.
- F3No Expiration date.
- F4The Restricted Stock units vest in four equal installments beginning 5/22/14.