SEC Form 4 · accession 0001209191-16-149876
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
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 5:57 pm EST
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 | Nov 10, 2016 | M | 10,000 | $6.51 | A | 38,227 | D | |
| Common Stock | Nov 10, 2016 | S | 10,000 | $30.00 | D | 28,227 | D | |
| Common Stock | Nov 11, 2016 | M | 8,352 | $0.00 | A | 36,579 | D | |
| Common Stock | Nov 11, 2016 | F | 3,938 | $30.75 | D | 32,641 | 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 | Nov 10, 2016 | M | 10,000 | D | — | Nov 11, 2018 | Common Stock | 10,000 | 59,640 | D |
| Restricted Stock UnitsF3,F4,F5 | $0.00 | Nov 11, 2016 | M | 8,352 | D | — | — | Common Stock | 8,352 | 16,704 | 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 August 10, 2016.
- F2The option award is fully vested.
- 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 annual installments beginning 11/11/15.
- F5No Expiration date.