SEC Form 4 · accession 0001209191-18-014627
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gina M Cruse
Officer — EVP, Human Resources
Period of report
Feb 26, 2018
Accepted (ET)
Feb 28, 2018 · 5:57 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 | 3,050 | $0.00 | A | 3,050 | D | |
| Common Stock | Feb 26, 2018 | F | 1,055 | $35.90 | D | 1,995 | D | |
| Common Stock | Feb 26, 2018 | M | 1,552 | $0.00 | A | 3,547 | D | |
| Common Stock | Feb 26, 2018 | F | 537 | $35.90 | D | 3,010 | D | |
| Common Stock | Feb 27, 2018 | S | 3,010 | $35.45 | D | 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 UnitF2,F3,F4 | $0.00 | Feb 26, 2018 | M | 3,050 | D | — | — | Common Stock | 3,050 | 6,101 | D |
| Restricted Stock UnitF2,F3,F4 | $0.00 | Feb 26, 2018 | M | 1,552 | D | — | — | Common Stock | 1,552 | 4,656 | D |
| Restricted Stock UnitF2,F5,F4 | $0.00 | Feb 27, 2018 | A | 7,995 | A | — | — | Common Stock | 7,995 | 7,995 | D |
| Employee Stock Option (Right to Buy)F6 | $34.40 | Feb 27, 2018 | A | 22,618 | A | — | Feb 27, 2028 | Common Stock | 22,618 | 22,618 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on August 11, 2017.
- F2Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- F3The restricted stock units vest in four annual installments beginning 2/26/17.
- F4No expiration date.
- F5The restricted stock units vest in four annual installments beginning 2/26/2019.
- F6The 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.