SEC Form 4 · accession 0001209191-17-052448
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey C Grace
Other
Period of report
Sep 8, 2017
Accepted (ET)
Sep 12, 2017 · 4:52 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 | holding | — | — | — | 4,140 | 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)F1 | $31.40 | Sep 8, 2017 | A | 4,539 | A | — | Sep 8, 2027 | Common Stock | 4,539 | 4,539 | D |
| Restricted Stock UnitsF2,F3,F4 | $0.00 | Sep 8, 2017 | A | 1,593 | A | — | — | Common Stock | 1,593 | 1,593 | D |
Explanation of responses
- F1The option award vests as to 1134 shares on 9/8/2018, and the remaining shares vest monthly thereafter from 10/8/2018 to 9/8/2021.
- 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 9/15/2018.
- F4No Expiration date.