SEC Form 4 · accession 0001051741-15-000124
FIRST NIAGARA FINANCIAL GROUP INC · FNFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlton L Highsmith
Director
Period of report
Apr 30, 2015
Accepted (ET)
Apr 30, 2015 · 4:55 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 30, 2015 | A | 8,361 | $0.00 | A | 80,329 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $14.69 | holding | — | — | — | Jan 1, 2007 | Nov 28, 2016 | Common Stock | 6,715 | 6,715 | D |
| Stock Options | $11.49 | holding | — | — | — | Nov 5, 2008 | Nov 5, 2017 | Common Stock | 8,637 | 8,637 | D |
| Stock Options | $12.25 | holding | — | — | — | Nov 2, 2009 | Nov 3, 2018 | Common Stock | 7,913 | 7,913 | D |
| Stock Options | $10.01 | holding | — | — | — | Nov 2, 2010 | Nov 2, 2019 | Common Stock | 10,813 | 10,813 | D |
Explanation of responses
- F1Represents restricted stock awards that vest 4/30/2016.