SEC Form 4 · accession 0001209191-18-020326
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
Mar 15, 2018
Accepted (ET)
Mar 16, 2018 · 5:47 pm EDT
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 | Mar 15, 2018 | M | 1,390 | $0.00 | A | 1,390 | D | |
| Common Stock | Mar 15, 2018 | F | 481 | $34.65 | D | 909 | D | |
| Common Stock | Mar 16, 2018 | S | 455 | $34.65 | D | 454 | 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 UnitF1,F2,F3 | — | Mar 15, 2018 | M | 1,390 | D | — | — | Common Stock | 1,390 | 1,390 | 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 3/15/16.
- F3No expiration date.