SEC Form 4 · accession 0001209191-18-027042
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Bunch
Officer — EVP, COO & Pres FE Advisors
Period of report
Apr 30, 2018
Accepted (ET)
May 1, 2018 · 3:36 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 | Apr 30, 2018 | M | 10,000 | $24.59 | A | 28,754 | D | |
| Common Stock | Apr 30, 2018 | S | 10,000 | $44.40 | D | 18,754 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $24.59 | Apr 30, 2018 | A | 10,000 | D | — | Feb 25, 2026 | Common Stock | 10,000 | 146,264 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2017.
- F2The option award vests as to 44,066 shares on 2/1/17, and the remaining shares vest monthly thereafter from 3/1/17 to 2/1/20.