SEC Form 4 · accession 0001209191-18-014612
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelly O'Donnell
Officer — EVP, CAO & CRO
Period of report
Feb 26, 2018
Accepted (ET)
Feb 28, 2018 · 5:46 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 26, 2018 | M | 4,232 | $0.00 | A | 24,767 | D | |
| Common Stock | Feb 26, 2018 | F | 1,247 | $35.90 | D | 23,520 | D | |
| Common Stock | Feb 26, 2018 | M | 6,608 | $0.00 | A | 30,128 | D | |
| Common Stock | Feb 26, 2018 | F | 1,947 | $35.90 | D | 28,181 | D | |
| Common Stock | Feb 26, 2018 | M | 1,564 | $0.00 | A | 29,745 | D | |
| Common Stock | Feb 26, 2018 | F | 461 | $35.90 | D | 29,284 | 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 26, 2018 | M | 4,232 | D | — | — | Common Stock | 4,232 | 12,699 | D |
| Restricted Stock UnitsF1,F4,F3 | $0.00 | Feb 26, 2018 | M | 6,608 | D | — | — | Common Stock | 6,608 | 13,218 | D |
| Restricted Stock UnitsF1,F5,F3 | $0.00 | Feb 26, 2018 | M | 1,564 | D | — | — | Common Stock | 1,564 | 0 | D |
| Restricted Stock UnitsF1,F6,F3 | $0.00 | Feb 27, 2018 | A | 19,855 | A | — | — | Common Stock | 19,855 | 19,855 | D |
| Employee Stock Option (Right to Buy)F7 | $34.40 | Feb 27, 2018 | A | 56,174 | A | — | Feb 27, 2028 | Common Stock | 56,174 | 56,174 | 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 2/26/2018.
- F3No Expiration date.
- F4The restricted stock units vest in four annual installments beginning 2/26/17.
- F5The restricted stock units vest in four annual installments beginning 2/26/15.
- F6The restricted stock units vest in four annual installments beginning 2/26/2019.
- F7The option award vests as to 25% of the granted shares on 2/26/2019, and the remaining shares vest monthly thereafter from 3/26/2019 to 2/26/2022.