SEC Form 4 · accession 0001209191-18-006925
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Bunch
Officer — EVP, COO & Pres FE Advisors
Period of report
Feb 1, 2018
Accepted (ET)
Feb 2, 2018 · 4:45 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 | Feb 1, 2018 | M | 15,250 | $0.00 | A | 25,200 | D | |
| Common Stock | Feb 1, 2018 | F | 4,614 | $28.80 | D | 20,586 | 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 | Feb 1, 2018 | M | 15,250 | D | — | — | Common Stock | 15,250 | 30,501 | 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 2/1/17.
- F3No expiration date.