Filing Details

Accession Number:
0001209191-17-016233
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-01 21:20:00
Reporting Period:
2017-02-28
Filing Date:
2017-03-01
Accepted Time:
2017-03-01 21:20:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1430592 Financial Engines Inc. FNGN Investment Advice (6282) 943250323
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1569409 Kelly O'donnell 1050 Enterprise Way
3Rd Floor
Sunnyvale CA 94089
Evp, Cao & Cro No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-03-01 3,333 $31.43 19,874 No 4 M Direct
Common Stock Disposition 2017-03-01 3,333 $45.50 16,541 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Acquisiton 2017-02-28 45,158 $0.00 45,158 $44.30
Common Stock Restricted Stock Units Acquisiton 2017-02-28 16,931 $0.00 16,931 $0.00
Common Stock Employee Stock Option (Right to Buy) Disposition 2017-03-01 3,333 $0.00 3,333 $31.43
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
45,158 2027-02-28 No 4 A Direct
16,931 No 4 A Direct
66,780 2024-11-11 No 4 M Direct
Footnotes
  1. The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on May 13, 2016.
  2. The option award vests as to 11,289 shares on 2/26/2018, and the remaining shares vest monthly thereafter from 3/26/2018 to 2/26/2021.
  3. Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
  4. The restricted stock units vest in four annual installments beginning 2/26/2018.
  5. No Expiration date.
  6. The option award vests as to 18,362 shares on 11/11/15, and the remaining shares vest monthly thereafter from 12/11/15 to 11/11/18.