SEC Form 4 · accession 0001209191-16-153018
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
Dec 1, 2016
Accepted (ET)
Dec 2, 2016 · 4:23 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 | Dec 1, 2016 | M | 10,000 | $6.51 | A | 44,218 | D | |
| Common StockF2 | Dec 1, 2016 | S | 10,000 | $35.038 | D | 34,218 | 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)F3 | $6.51 | Dec 1, 2016 | M | 10,000 | D | — | Nov 11, 2018 | Common Stock | 10,000 | 49,640 | 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 price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.10 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.
- F3The option award is fully vested.