SEC Form 4 · accession 0001209191-18-013165
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
Feb 22, 2018
Accepted (ET)
Feb 23, 2018 · 7:26 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 StockF1 | Feb 22, 2018 | M | 10,764 | $0.00 | A | 77,304 | D | |
| Common Stock | Feb 22, 2018 | F | 3,170 | $29.95 | D | 74,134 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF2,F3,F4 | $0.00 | Feb 22, 2018 | M | 10,764 | D | — | — | Common Stock | 10,764 | 0 | D |
Explanation of responses
- F1This number reflects the gross amount of shares (prior to any withholding by issuer to satisfy related tax obligations) issued to the reporting person upon settlement of performance stock unit awards granted pursuant to the 2013-2017 Long Term Incentive Plan ("LTIP") previously granted to the reporting person.
- F2Each performance stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F3The performance stock units vest upon the settlement of awards pursuant to the LTIP previously granted to the reporting person.
- F4No expiration date.