SEC Form 4 · accession 0001209191-17-011990
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelly O'Donnell
Officer — EVP, CAO & CRO
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 3:02 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 | Feb 15, 2017 | M | 3,500 | $25.10 | A | 15,590 | D | |
| Common Stock | Feb 15, 2017 | S | 3,500 | $40.10 | D | 12,090 | D | |
| Common Stock | Feb 16, 2017 | M | 4,338 | $26.22 | A | 16,428 | D | |
| Common Stock | Feb 16, 2017 | S | 4,338 | $40.50 | D | 12,090 | 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 | $25.10 | Feb 15, 2017 | M | 3,500 | D | — | Mar 22, 2021 | Common Stock | 3,500 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $26.22 | Feb 16, 2017 | M | 4,338 | D | — | Nov 16, 2022 | Common Stock | 4,338 | 4,338 | 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.