SEC Form 4 · accession 0001209191-18-031126
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heidi Fields
Director
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 5:57 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 | May 15, 2018 | M | 6,309 | $0.00 | A | 20,035 | 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 | May 15, 2018 | M | 1,224 | D | — | — | Common Stock | 1,224 | 1,224 | D |
| Restricted Stock UnitsF1,F4,F3 | $0.00 | May 15, 2018 | M | 2,517 | D | — | — | Common Stock | 2,517 | 2,517 | D |
| Restricted Stock UnitsF1,F5,F3 | $0.00 | May 15, 2018 | M | 2,568 | D | — | — | Common Stock | 2,568 | 2,567 | 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 equal installments beginning 5/15/16.
- F3No Expiration date.
- F4The restricted stock units vest in three equal annual installments beginning 05/15/17.
- F5The restricted stock units vest in two equal annual installments beginning 05/15/18.