1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (Right to Buy)
|
Â
(1)
|
11/11/2018 |
Common Stock
|
3,200
|
$
6.51
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(2)
|
11/11/2018 |
Common Stock
|
5,249
|
$
6.51
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(3)
|
11/09/2019 |
Common Stock
|
4,584
|
$
7.99
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(4)
|
11/18/2021 |
Common Stock
|
12,120
|
$
21.39
|
D
|
Â
|
Restricted Stock Units
|
Â
(5)
|
Â
(5)
|
Common Stock
|
5,720
|
$
(6)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
The option award vests as to 3840 shares on 11/11/09, and the remaining shares vest monthly thereafter from 12/11/09 to 11/11/12. |
(2) |
The option award vests as to 7410 shares on 11/11/09, and the remaining shares vest monthly thereafter from 12/11/09 to 11/11/12. |
(3) |
The option award vests as to 2500 shares on 11/09/10, and the remaining shares vest monthly thereafter from 12/09/10 to 11/09/13. |
(4) |
The option award vests as to 3030 shares on 11/18/12, and the remaining shares vest monthly thereafter from 12/18/12 to 11/18/15. |
(5) |
The restricted stock units vest in four equal installments beginning 11/18/11. |
(6) |
Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. |