SEC Form 4 · accession 0001209191-18-032756
Financial Engines, Inc. · FNGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blake R. Grossman
Director
Period of report
May 21, 2018
Accepted (ET)
May 23, 2018 · 7:00 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 21, 2018 | M | 1,255 | $0.00 | A | 59,290 | 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 21, 2018 | M | 1,255 | D | — | — | Common Stock | 1,255 | 0 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | May 23, 2018 | A | 4,482 | A | May 15, 2019 | — | Common Stock | 4,482 | 4,482 | 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 annual installments beginning 05/21/15.
- F3No Expiration Date.