SEC Form 4 · accession 0001051741-15-000236

FIRST NIAGARA FINANCIAL GROUP INC · FNFG

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SEVP, Chief Financial Officer

Period of report

Dec 22, 2015

Accepted (ET)

Dec 23, 2015 · 4:17 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 22, 2015	M	56,076	$9.84	A	321,205	D
Common Stock	Dec 22, 2015	M	56,989	$8.86	A	378,194	D
Common Stock	Dec 22, 2015	M	26,530	$9.27	A	404,724	D
Common Stock	Dec 22, 2015	D	121,858	$10.69	D	282,866	D
Common Stock	Dec 22, 2015	F	6,557	$10.69	D	276,309	D
Series B Nonconvertible Preferred Stock	holding	—	—		—	2,000	D
Common Stock	holding	—	—		—	371	I	By ESOP

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	Dec 22, 2015	M	56,076	D	Mar 30, 2012	Mar 30, 2013	Common Stock	56,076	0	D
Non-qualified Stock Option (Right to Buy)	$8.86	Dec 22, 2015	M	56,989	D	Mar 28, 2014	Mar 28, 2023	Common Stock	56,989	28,495	D
Non-qualified Stock Option (Right to Buy)	$9.27	Dec 22, 2015	M	26,530	D	Mar 28, 2015	Mar 28, 2024	Common Stock	26,530	53,060	D
Non-qualified Stock Option (Right to Buy)	$13.84	holding	—	—	—	Jan 24, 2012	Apr 4, 2021	Common Stock	33,096	33,096	D
Non-qualified Stock Option (Right to Buy)	$9.84	holding	—	—	—	Mar 30, 2013	Mar 30, 2022	Common Stock	56,076	56,076	D
Non-qualified Stock Option (Right to Buy)	$8.86	holding	—	—	—	Mar 28, 2014	Mar 28, 2023	Common Stock	85,484	85,484	D
Non-qualified Stock Option (Right to Buy)	$9.27	holding	—	—	—	Mar 28, 2015	Mar 28, 2024	Common Stock	79,590	79,590	D

F1The exercise of the option was net settled with the Company and 128,415 shares were withheld to pay the applicable exercise price and taxes pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934.