SEC Form 4 · accession 0001209191-17-015363
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence M. Raffone
Officer — President & CEO · Director
Period of report
Feb 26, 2017
Accepted (ET)
Feb 28, 2017 · 5:23 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 | Feb 26, 2017 | M | 3,016 | $0.00 | A | 37,234 | D | |
| Common Stock | Feb 26, 2017 | F | 1,420 | $42.45 | D | 35,814 | D | |
| Common Stock | Feb 26, 2017 | M | 21,350 | $0.00 | A | 57,164 | D | |
| Common Stock | Feb 26, 2017 | F | 10,046 | $42.45 | D | 47,118 | 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 | Feb 26, 2017 | M | 3,016 | D | — | — | Common Stock | 3,016 | 3,017 | D |
| Restricted Stock UnitsF4,F5,F3 | $0.00 | Feb 26, 2017 | M | 21,350 | D | — | — | Common Stock | 21,350 | 64,051 | 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 2/26/15.
- F3No Expiration date.
- F4Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F5The restricted stock units vest in four annual installments beginning 2/26/17.