Filing Details
- Accession Number:
- 0001209191-18-014627
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-28 17:57:34
- Reporting Period:
- 2018-02-26
- Accepted Time:
- 2018-02-28 17:57:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1635608 | M Gina Cruse | 1050 Enterprise Way Sunnyvale CA 94089 | Evp, Human Resources | 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 | 2018-02-26 | 3,050 | $0.00 | 3,050 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-26 | 1,055 | $35.90 | 1,995 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2018-02-26 | 1,552 | $0.00 | 3,547 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-26 | 537 | $35.90 | 3,010 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2018-02-27 | 3,010 | $35.45 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2018-02-26 | 3,050 | $0.00 | 3,050 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2018-02-26 | 1,552 | $0.00 | 1,552 | $0.00 |
| Common Stock | Restricted Stock Unit | Acquisiton | 2018-02-27 | 7,995 | $0.00 | 7,995 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Acquisiton | 2018-02-27 | 22,618 | $0.00 | 22,618 | $34.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,101 | No | 4 | M | Direct | ||
| 4,656 | No | 4 | M | Direct | ||
| 7,995 | No | 4 | A | Direct | ||
| 22,618 | 2028-02-27 | No | 4 | A | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on August 11, 2017.
- 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 2/26/17.
- No expiration date.
- The restricted stock units vest in four annual installments beginning 2/26/2019.
- The option award vests as to 25% of the granted shares on 2/26/2019, and the remaining shares vest monthly thereafter from 3/26/2019 to 2/26/2022.
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