Filing Details
- Accession Number:
- 0001209191-17-016234
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-01 21:21:22
- Reporting Period:
- 2017-02-28
- Filing Date:
- 2017-03-01
- Accepted Time:
- 2017-03-01 21:21:22
- 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 |
|---|---|---|---|---|---|---|---|
| 1486875 | M. Lawrence Raffone | 1050 Enterprise Way 3Rd Floor Sunnyvale CA 94089 | President & Ceo | Yes | 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 | 10,000 | $6.51 | 57,118 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-03-01 | 10,000 | $45.34 | 47,118 | 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 | 126,442 | $0.00 | 126,442 | $44.30 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-02-28 | 47,405 | $0.00 | 47,405 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2017-03-01 | 10,000 | $0.00 | 10,000 | $6.51 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 126,442 | 2027-02-28 | No | 4 | A | Direct | |
| 47,405 | No | 4 | A | Direct | ||
| 19,640 | 2018-11-11 | No | 4 | M | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 10, 2016.
- The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $44.60 to $45.55 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The option award vests as to 31,610 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 is fully vested.
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