SEC Form 4 · accession 0001209191-16-155630
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond J. Sims
Officer — EVP & CFO
Period of report
Dec 14, 2016
Accepted (ET)
Dec 16, 2016 · 4:12 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 14, 2016 | M | 10,000 | $26.22 | A | 16,225 | D | |
| Common Stock | Dec 14, 2016 | M | 6,420 | $21.39 | A | 22,645 | D | |
| Common Stock | Dec 14, 2016 | S | 16,420 | $37.80 | D | 6,225 | 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)F2 | $26.22 | Dec 14, 2016 | M | 10,000 | D | — | Nov 16, 2022 | Common Stock | 10,000 | 0 | D |
| Employee Stock Option (Right to BuyF2 | $21.39 | Dec 14, 2016 | M | 6,420 | D | — | Nov 18, 2021 | Common Stock | 6,420 | 9,100 | 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 May 13, 2016.
- F2The option award is fully vested.