SEC Form 4 · accession 0001209191-16-150996
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lewis Antone Jr.
Officer — EVP, General Counsel and Sec.
Period of report
Nov 16, 2016
Accepted (ET)
Nov 17, 2016 · 6:51 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 | S | 960 | $32.00 | D | 2,388 | D | |
| Common Stock | Nov 16, 2016 | M | 1,020 | $0.00 | A | 3,408 | D | |
| Common Stock | Nov 16, 2016 | F | 333 | $33.30 | D | 3,075 | 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 16, 2016 | M | 1,020 | D | — | — | Common Stock | 1,020 | 0 | 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 March 9, 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 11/16/13.
- F4No expiration date.