SEC Form 4 · accession 0001209191-17-016233
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 28, 2017
Accepted (ET)
Mar 1, 2017 · 9:20 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 | 3,333 | $31.43 | A | 19,874 | D | |
| Common Stock | Mar 1, 2017 | S | 3,333 | $45.50 | D | 16,541 | 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 | $44.30 | Feb 28, 2017 | A | 45,158 | A | — | Feb 28, 2027 | Common Stock | 45,158 | 45,158 | D |
| Restricted Stock UnitsF3,F4,F5 | $0.00 | Feb 28, 2017 | A | 16,931 | A | — | — | Common Stock | 16,931 | 16,931 | D |
| Employee Stock Option (Right to Buy)F6 | $31.43 | Mar 1, 2017 | M | 3,333 | D | — | Nov 11, 2024 | Common Stock | 3,333 | 66,780 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on May 13, 2016.
- F2The option award vests as to 11,289 shares on 2/26/2018, and the remaining shares vest monthly thereafter from 3/26/2018 to 2/26/2021.
- F3Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F4The restricted stock units vest in four annual installments beginning 2/26/2018.
- F5No Expiration date.
- F6The option award vests as to 18,362 shares on 11/11/15, and the remaining shares vest monthly thereafter from 12/11/15 to 11/11/18.