SEC Form 4 · accession 0001209191-17-055221
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey C Grace
Other
Period of report
Oct 2, 2017
Accepted (ET)
Oct 3, 2017 · 4:59 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 | Oct 2, 2017 | M | 7,783 | $8.75 | A | 11,923 | D | |
| Common Stock | Oct 2, 2017 | S | 8,689 | $35.00 | D | 3,234 | 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 | Oct 2, 2017 | M | 7,783 | D | — | Jan 26, 2020 | Common Stock | 7,783 | 9,789 | 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 May 18, 2017.
- F2The option award is fully vested.