SEC Form 4 · accession 0001209191-16-149971
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher L. Jones
Officer — EVP & Chief Investment Officer
Period of report
Nov 11, 2016
Accepted (ET)
Nov 14, 2016 · 7:50 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 11, 2016 | M | 5,250 | $0.00 | A | 83,285 | D | |
| Common Stock | Nov 11, 2016 | F | 2,681 | $30.75 | D | 80,604 | D | |
| Common Stock | Nov 14, 2016 | M | 10,000 | $7.99 | A | 90,604 | D | |
| Common Stock | Nov 14, 2016 | S | 10,000 | $32.15 | D | 80,604 | 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 UnitsF2,F3,F4 | $0.00 | Nov 11, 2016 | M | 5,250 | D | — | — | Common Stock | 5,250 | 10,500 | D |
| Employee Stock Option (Right to Buy)F5 | $7.99 | Nov 14, 2016 | M | 10,000 | D | — | Nov 9, 2019 | Common Stock | 10,000 | 28,514 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on May 13, 2016.
- 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 11/11/15.
- F4No Expiration date.
- F5The option award is fully vested.