SEC Form 4 · accession 0001051741-15-000100
FIRST NIAGARA FINANCIAL GROUP INC · FNFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard M Barry
Officer — EVP, Chief Risk Officer
Period of report
Apr 27, 2015
Accepted (ET)
Apr 28, 2015 · 6:23 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 | 5,991 | $8.86 | D | 162,337 | D | |
| Common Stock | holding | — | — | — | 238 | I | By 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) | $9.84 | holding | — | — | — | Mar 30, 2013 | Mar 30, 2022 | Common Stock | 33,645 | 33,645 | D |
| Non-qualified Stock Option (Right to Buy) | $8.86 | holding | — | — | — | Mar 28, 2014 | Mar 28, 2023 | Common Stock | 57,028 | 57,028 | D |
| Non-qualified Stock Option (Right to Buy) | $9.27 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Common Stock | 50,293 | 50,293 | D |
Explanation of responses
- F1Represents restricted stock units that cliff vest on the third anniversary of date of grant.