SEC Form 4 · accession 0001209191-17-016192
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David B Yoffie
Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 8:37 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 28, 2017 | M | 21,000 | $23.62 | A | 33,481 | D | |
| Common Stock | Feb 28, 2017 | S | 21,000 | $44.1909 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1,F2 | $23.62 | Feb 28, 2017 | M | 21,000 | D | — | Jun 15, 2021 | Common Stock | 21,000 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F2The option award is fully vested.