SEC Form 4 · accession 0001209191-17-016237
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
E. Olena Berg-Lacy
Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 9:28 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 28, 2017 | M | 1,250 | $8.75 | A | 11,856 | D | |
| Common Stock | Feb 28, 2017 | M | 2,187 | $27.17 | A | 14,043 | D | |
| Common StockF1 | Feb 28, 2017 | S | 3,437 | $43.864 | D | 10,606 | D | |
| Common Stock | Mar 1, 2017 | M | 2,188 | $27.17 | A | 12,794 | D | |
| Common Stock | Mar 1, 2017 | S | 2,188 | $45.00 | D | 10,606 | 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 | $8.75 | Feb 28, 2017 | M | 1,250 | D | — | Jan 26, 2020 | Common Stock | 1,250 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $27.17 | Feb 28, 2017 | M | 2,187 | D | — | May 12, 2021 | Common Stock | 2,187 | 2,188 | D |
| Employee Stock Option (Right to Buy)F2 | $27.17 | Mar 1, 2017 | M | 2,188 | D | — | May 12, 2021 | Common Stock | 2,188 | 0 | D |
Explanation of responses
- F1The price reported in Col 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $43.625 to $44.00, inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The option is fully vested.