SEC Form 4 · accession 0001209191-18-014614
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 26, 2018
Accepted (ET)
Feb 28, 2018 · 5:49 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 | 3,017 | $0.00 | A | 77,151 | D | |
| Common Stock | Feb 26, 2018 | F | 1,206 | $35.90 | D | 75,945 | D | |
| Common Stock | Feb 26, 2018 | M | 21,350 | $0.00 | A | 97,295 | D | |
| Common Stock | Feb 26, 2018 | F | 9,491 | $35.90 | D | 87,804 | D | |
| Common Stock | Feb 26, 2018 | M | 11,851 | $0.00 | A | 99,655 | D | |
| Common Stock | Feb 26, 2018 | F | 5,268 | $35.90 | D | 94,387 | 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 | 3,017 | D | — | — | Common Stock | 3,016 | 0 | D |
| Restricted Stock UnitsF4,F5,F3 | $0.00 | Feb 26, 2018 | M | 21,350 | D | — | — | Common Stock | 21,350 | 42,701 | D |
| Restricted Stock UnitsF4,F6,F3 | $0.00 | Feb 26, 2018 | M | 11,851 | D | — | — | Common Stock | 11,851 | 35,554 | D |
| Restricted Stock UnitsF4,F7,F3 | $0.00 | Feb 27, 2018 | A | 54,942 | A | — | — | Common Stock | 54,942 | 54,942 | D |
| Employee Stock Option (Right to Buy)F8 | $34.40 | Feb 27, 2018 | A | 155,445 | A | — | Feb 27, 2028 | Common Stock | 155,445 | 155,445 | 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 2/26/15.
- F3No Expiration date.
- F4Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F5The restricted stock units vest in four annual installments beginning 2/26/17.
- F6The restricted stock units vest in four annual installments beginning 2/26/2018.
- F7The restricted stock units vest in four annual installments beginning 2/26/2019.
- F8The 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.