SEC Form 4 · accession 0001209191-18-014616
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig L Foster
Officer — EVP & CFO
Period of report
Feb 27, 2018
Accepted (ET)
Feb 28, 2018 · 5:50 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 | holding | — | — | — | 0 | 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 27, 2018 | A | 19,419 | A | — | — | Common Stock | 19,419 | 19,419 | D |
| Employee Stock Option (Right to Buy)F4 | $34.40 | Feb 27, 2018 | A | 54,941 | A | — | Feb 27, 2028 | Common Stock | 54,941 | 54,941 | 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 2/26/2019.
- F3No expiration date.
- F4The 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.