SEC Form 4 · accession 0001051741-15-000082
FIRST NIAGARA FINANCIAL GROUP INC · FNFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Signorille
Officer — Managing Director Operations
Period of report
Jan 8, 2015
Accepted (ET)
Apr 1, 2015 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001051741
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 8, 2015 | S | 2,477 | $7.94 | D | 0 | I | 401k |
| Common Stock | Mar 30, 2015 | A | 22,447 | $0.00 | A | 61,501 | D | |
| Common Stock | holding | — | — | — | 603 | I | ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy) | $9.27 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Common Stock | 23,926 | 23,926 | D |
Explanation of responses
- F1Transaction inadvertently occurred as a result of a previously established quarterly auto rebalance election that had not been adjusted with the change of the owner's Section 16 Insider status and her November acquisition of FNFG shares in her 401(k).