Raffone Lawrence M. 4

4 · Financial Engines, Inc. · Filed Feb 28, 2018

Form 4

Period: 2018-02-26

See Remarks

Transactions

Exercise/Conversion
Common Stock
2018-02-26+3,017→ 77,151 total
Tax Payment
Common Stock
2018-02-26$35.90/sh−1,206$43,295→ 75,945 total
Exercise/Conversion
Common Stock
2018-02-26+21,350→ 97,295 total
Tax Payment
Common Stock
2018-02-26$35.90/sh−9,491$340,727→ 87,804 total
Exercise/Conversion
Common Stock
2018-02-26+11,851→ 99,655 total
Tax Payment
Common Stock
2018-02-26$35.90/sh−5,268$189,121→ 94,387 total
Exercise/Conversion
Restricted Stock Units
2018-02-26−3,017→ 0 total
Exercise: $0.00→ Common Stock (3,016 underlying)
Exercise/Conversion
Restricted Stock Units
2018-02-26−21,350→ 42,701 total
Exercise: $0.00→ Common Stock (21,350 underlying)
Exercise/Conversion
Restricted Stock Units
2018-02-26−11,851→ 35,554 total
Exercise: $0.00→ Common Stock (11,851 underlying)
Award
Restricted Stock Units
2018-02-27+54,942→ 54,942 total
Exercise: $0.00→ Common Stock (54,942 underlying)
Award
Employee Stock Option (Right to Buy)
2018-02-27+155,445→ 155,445 total
Exercise: $34.40Exp: 2028-02-27→ Common Stock (155,445 underlying)

Footnotes (8)

[F1]Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
[F2]The restricted stock units vest in four annual installments beginning 2/26/15.
[F3]No Expiration date.
[F4]Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
[F5]The restricted stock units vest in four annual installments beginning 2/26/17.
[F6]The restricted stock units vest in four annual installments beginning 2/26/2018.
[F7]The restricted stock units vest in four annual installments beginning 2/26/2019.
[F8]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.

Documents

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