SEC Form 4 · accession 0001209191-17-059622
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher L. Jones
Officer — EVP & Chief Investment Officer
Period of report
Nov 6, 2017
Accepted (ET)
Nov 7, 2017 · 5:03 pm EST
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 | Nov 6, 2017 | M | 12,515 | $7.99 | A | 53,478 | 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 | $7.99 | Nov 6, 2017 | M | 12,515 | D | — | Nov 9, 2019 | Common Stock | 12,515 | 0 | D |
Explanation of responses
- F1The option award is fully vested.