SEC Form 4 · accession 0001051741-15-000237

FIRST NIAGARA FINANCIAL GROUP INC · FNFG

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

Reporting owner

Officer — EVP, Chief Risk 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	33,645	$9.84	A	195,982	D
Common Stock	Dec 22, 2015	M	38,019	$8.86	A	234,001	D
Common Stock	Dec 22, 2015	M	16,765	$9.27	A	250,766	D
Common Stock	Dec 22, 2015	D	77,020	$10.69	D	173,746	D
Common Stock	Dec 22, 2015	F	3,692	$10.69	D	170,054	D
Common Stock	holding	—	—		—	238	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	33,645	D	Mar 30, 2013	Mar 30, 2022	Common Stock	33,645	0	D
Non-qualified Stock Option (Right to Buy)	$8.86	Dec 22, 2015	M	38,019	D	Mar 28, 2014	Mar 28, 2023	Common Stock	38,019	19,009	D
Non-qualified Stock Option (Right to Buy)	$9.27	Dec 22, 2015	M	16,765	D	Mar 28, 2015	Mar 28, 2024	Common Stock	16,765	33,528	D
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

F1The exercise of the option was net settled with the Company and 80,712 shares were withheld to pay the applicable exercise price and taxes pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934.