SEC Form 4 · accession 0001209191-17-039687
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey C Grace
Other
Period of report
Jun 12, 2017
Accepted (ET)
Jun 13, 2017 · 7:32 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 | Jun 12, 2017 | M | 1,454 | $21.39 | A | 14,732 | D | |
| Common Stock | Jun 12, 2017 | S | 2,874 | $39.55 | D | 11,858 | 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 | $21.39 | Jun 12, 2017 | M | 1,454 | D | — | Nov 18, 2021 | Common Stock | 1,454 | 0 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2016.
- F2The option award is fully vested.