SEC Form 4 · accession 0001209191-16-151973
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 22, 2016
Accepted (ET)
Nov 23, 2016 · 4:38 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 22, 2016 | M | 425 | $0.00 | A | 2,540 | D | |
| Common Stock | Nov 22, 2016 | F | 139 | $34.90 | D | 2,401 | D | |
| Common Stock | Nov 22, 2016 | M | 839 | $0.00 | A | 3,240 | D | |
| Common Stock | Nov 22, 2016 | F | 274 | $34.90 | D | 2,966 | D | |
| Common Stock | Nov 22, 2016 | M | 951 | $0.00 | A | 3,917 | D | |
| Common Stock | Nov 22, 2016 | F | 310 | $34.90 | D | 3,607 | 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 UnitsF1,F2,F3 | $0.00 | Nov 22, 2016 | M | 425 | D | — | — | Common Stock | 425 | 425 | D |
| Restricted Stock UnitsF1,F4,F3 | $0.00 | Nov 22, 2016 | M | 951 | D | — | — | Common Stock | 951 | 1,902 | D |
| Restricted Stock UnitsF1,F5,F3 | $0.00 | Nov 22, 2016 | M | 839 | D | — | — | Common Stock | 839 | 2,517 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F2The restricted stock units vest in four annual installments beginning 11/22/14.
- F3No expiration date.
- F4The restricted stock units vest in four annual installments beginning 11/22/15.
- F5The restricted stock units vest in four annual installments beginning 11/22/16.