SEC Form 4 · accession 0001209191-17-057979
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 23, 2017
Accepted (ET)
Oct 25, 2017 · 7:39 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 23, 2017 | M | 2,000 | $26.22 | A | 5,234 | D | |
| Common Stock | Oct 23, 2017 | S | 2,000 | $37.00 | 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 | $26.22 | Oct 23, 2017 | M | 2,000 | D | — | Nov 16, 2022 | Common Stock | 2,000 | 6,180 | 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.