SEC Form 4 · accession 0001209191-17-003393
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey C Grace
Other
Period of report
Jan 10, 2017
Accepted (ET)
Jan 11, 2017 · 4:42 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 | Jan 10, 2017 | M | 2,000 | $8.75 | A | 19,346 | D | |
| Common Stock | Jan 10, 2017 | S | 3,000 | $37.05 | D | 16,346 | 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 | $8.75 | Jan 10, 2017 | M | 2,000 | D | — | May 26, 2020 | Common Stock | 2,000 | 17,572 | 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 November 8, 2016.
- F2The option award is fully vested.