SEC Form 4 · accession 0001209191-17-060665
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence M. Raffone
Officer — President & CEO · Director
Period of report
Nov 11, 2017
Accepted (ET)
Nov 14, 2017 · 5:19 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 11, 2017 | M | 8,352 | $0.00 | A | 55,470 | D | |
| Common Stock | Nov 11, 2017 | F | 3,930 | $26.95 | D | 51,540 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | $0.00 | Nov 11, 2017 | M | 8,352 | D | — | — | Common Stock | 8,352 | 8,352 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F2The restricted stock units vest in four annual installments beginning 11/11/15.
- F3No Expiration date.