SEC Form 4 · accession 0001051741-15-000099
FIRST NIAGARA FINANCIAL GROUP INC · FNFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R Rendulic
Officer — EVP, Retail Banking
Period of report
Apr 27, 2015
Accepted (ET)
Apr 28, 2015 · 6:22 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 | Apr 27, 2015 | F | 7,132 | $8.86 | D | 143,712 | D | |
| Series B Nonconvertible Preferred Stock | holding | — | — | — | 1,000 | D | ||
| Common Stock | holding | — | — | — | 897 | I | By ESOP | |
| Common Stock | holding | — | — | — | 10,018 | I | By 401k |
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) | $13.79 | holding | — | — | — | Jan 24, 2012 | Jan 24, 2021 | Common Stock | 19,536 | 19,536 | D |
| Non-qualified Stock Option (Right to Buy) | $9.84 | holding | — | — | — | Mar 30, 2013 | Mar 30, 2022 | Common Stock | 35,046 | 35,046 | D |
| Non-qualified Stock Option (Right to Buy) | $8.86 | holding | — | — | — | Mar 28, 2014 | Mar 28, 2023 | Common Stock | 52,650 | 52,650 | D |
| Non-qualified Stock Option (Right to Buy) | $9.27 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Common Stock | 46,387 | 46,387 | D |
Explanation of responses
- F1Represents restricted stock units that cliff vest on the third anniversary of date of grant.