SEC Form 4 · accession 0001209191-17-016190
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Shoven
Director
Period of report
Mar 1, 2017
Accepted (ET)
Mar 1, 2017 · 8:35 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 | Mar 1, 2017 | M | 7,500 | $8.75 | A | 19,981 | D | |
| Common Stock | Mar 1, 2017 | S | 7,500 | $45.20 | D | 12,481 | 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 | $8.75 | Mar 1, 2017 | M | 7,500 | D | — | Jan 26, 2020 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1The option award is fully vested.