SEC Form 4 · accession 0001209191-16-123022
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence M. Raffone
Officer — CEO & President · Director
Period of report
May 20, 2016
Accepted (ET)
May 24, 2016 · 6:14 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 | holding | — | — | — | 28,227 | 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)F1 | $26.43 | May 20, 2016 | A | 202,378 | A | — | May 20, 2026 | Common Stock | 202,378 | 202,378 | D |
| Restricted Stock UnitsF2,F3,F4 | $0.00 | May 20, 2016 | A | 85,401 | A | — | — | Common Stock | 85,401 | 85,401 | D |
Explanation of responses
- F1The option award vests as to 50,594 shares on 2/26/17, and the remaining shares vest monthly thereafter from 3/26/17 to 2/26/20.
- F2Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F3The restricted stock units vest in four annual installments beginning 2/26/17.
- F4No Expiration date.