SEC Form 4 · accession 0001209191-17-057222
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 16, 2017
Accepted (ET)
Oct 17, 2017 · 7:46 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 16, 2017 | M | 7,783 | $8.75 | A | 11,017 | D | |
| Common StockF2 | Oct 16, 2017 | S | 7,783 | $36.831 | 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)F3 | $8.75 | Oct 16, 2017 | M | 7,783 | D | — | Jan 26, 2020 | Common Stock | 7,783 | 2,006 | 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 price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $36.60 to $37.05 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The option award is fully vested.