SEC Form 4 · accession 0001209191-17-015380
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey C Grace
Other
Period of report
Feb 26, 2017
Accepted (ET)
Feb 28, 2017 · 5:28 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 | 1,398 | $0.00 | A | 16,324 | D | |
| Common Stock | Feb 26, 2017 | F | 526 | $42.45 | D | 15,798 | D | |
| Common Stock | Feb 26, 2017 | M | 514 | $0.00 | A | 16,312 | D | |
| Common Stock | Feb 26, 2017 | F | 194 | $42.45 | D | 16,118 | 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 | 1,398 | D | — | — | Common Stock | 1,398 | 4,194 | D |
| Restricted Stock UnitsF1,F4,F3 | $0.00 | Feb 26, 2017 | M | 514 | D | — | — | Common Stock | 514 | 514 | 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 2/26/17.
- F3No Expiration date.
- F4The restricted stock units vest in four annual installments beginning 2/26/15.