SEC Form 4 · accession 0001051741-15-000227
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
Dec 17, 2015
Accepted (ET)
Dec 18, 2015 · 4:03 pm EST
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 Stock | Dec 17, 2015 | M | 7,976 | $9.27 | A | 67,333 | D | |
| Common Stock | Dec 17, 2015 | D | 6,904 | $10.71 | D | 60,429 | D | |
| Common Stock | Dec 17, 2015 | F | 397 | $10.71 | D | 60,032 | 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 | Dec 17, 2015 | M | 7,976 | D | Mar 28, 2015 | Mar 28, 2024 | Common Stock | 7,976 | 15,950 | D |
| 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
- F1The exercise of the option was net settled with the Company and 7,301 shares were withheld to pay the applicable exercise price and taxes pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934.