SEC Form 4 · accession 0001209191-17-033160
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Huret
Director
Period of report
May 15, 2017
Accepted (ET)
May 17, 2017 · 4:47 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 | May 15, 2017 | M | 3,740 | $0.00 | A | 16,221 | 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,F2,F3 | $0.00 | May 15, 2017 | M | 1,223 | D | — | — | Common Stock | 1,223 | 2,448 | D |
| Restricted Stock UnitsF1,F4,F3 | $0.00 | May 15, 2017 | M | 2,517 | D | — | — | Common Stock | 2,517 | 5,034 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F2The Restricted Stock units vest in four equal installments beginning 5/15/16.
- F3No Expiration date.
- F4The restricted stock units vest in three equal annual installments beginning 05/15/17.