SEC Form 4 · accession 0001209191-16-150993
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 16, 2016
Accepted (ET)
Nov 17, 2016 · 6:50 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 16, 2016 | M | 2,090 | $0.00 | A | 82,694 | D | |
| Common Stock | Nov 16, 2016 | F | 1,091 | $33.30 | D | 81,603 | D | |
| Common Stock | Nov 17, 2016 | M | 10,000 | $7.99 | A | 91,603 | D | |
| Common StockF2 | Nov 17, 2016 | S | 10,000 | $33.6119 | D | 81,603 | 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 UnitsF3,F4,F5 | $0.00 | Nov 16, 2016 | M | 2,090 | D | — | — | Common Stock | 2,090 | 0 | D |
| Employee Stock Option (Right to Buy)F6 | $7.99 | Nov 17, 2016 | M | 10,000 | D | — | Nov 9, 2019 | Common Stock | 10,000 | 18,514 | 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
- F2The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $33.20 to $33.775 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- 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 11/16/13.
- F5No Expiration date.
- F6The option award is fully vested.