SEC Form 4 · accession 0001209191-17-027339
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Jerome Campbell
Officer — EVP, Product & Technology
Period of report
Apr 16, 2017
Accepted (ET)
Apr 18, 2017 · 5:41 pm EDT
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 | Apr 16, 2017 | M | 1,228 | $0.00 | A | 39,462 | D | |
| Common Stock | Apr 16, 2017 | F | 462 | $31.51 | D | 39,020 | D | |
| Common Stock | Apr 18, 2017 | M | 547 | $6.51 | A | 39,597 | D | |
| Common Stock | Apr 18, 2017 | M | 1,453 | $6.51 | A | 41,020 | D | |
| Common Stock | Apr 18, 2017 | S | 2,000 | $40.35 | D | 39,020 | 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 UnitsF2,F3,F4 | $0.00 | Apr 16, 2017 | M | 1,228 | D | — | — | Common Stock | 1,228 | 1,228 | D |
| Employee Stock Option (Right to Buy)F5 | $6.51 | Apr 18, 2017 | M | 547 | D | — | Nov 11, 2018 | Common Stock | 547 | 14,813 | D |
| Employee Stock Option (Right to Buy)F5 | $6.51 | Apr 18, 2017 | M | 1,453 | D | — | Nov 11, 2018 | Common Stock | 1,453 | 0 | 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 November 8, 2016.
- F2Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F3The restricted stock units vest in four annual installments beginning 4/16/15.
- F4No Expiration date.
- F5The option award is fully vested.