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
- 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.
- 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.
- Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
- The restricted stock units vest in four annual installments beginning 2/26/2018.
- No Expiration date.
- 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.