SEC Form 4 · accession 0001051741-16-000287
FIRST NIAGARA FINANCIAL GROUP INC · FNFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary M Crosby
Officer — President & CEO
Period of report
Mar 28, 2016
Accepted (ET)
Mar 30, 2016 · 4:09 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 | Mar 28, 2016 | A | 14,328 | $0.00 | A | 456,421 | D | |
| Common StockF2 | Mar 30, 2016 | F | 6,493 | $9.71 | D | 449,928 | D | |
| Common StockF3 | Mar 30, 2016 | A | 128,205 | $0.00 | A | 578,133 | D | |
| Common Stock | holding | — | — | — | 943 | 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) | $11.29 | holding | — | — | — | Jul 13, 2010 | Jul 13, 2019 | Common Stock | 24,033 | 24,033 | D |
| Non-qualified Stock Option (Right to Buy) | $14.44 | holding | — | — | — | Jan 25, 2011 | Jan 25, 2020 | Common Stock | 35,406 | 35,406 | D |
| Non-qualified Stock Option (Right to Buy) | $13.79 | holding | — | — | — | Jan 24, 2012 | Jan 24, 2021 | Common Stock | 45,933 | 45,933 | D |
| Non-qualified Stock Option (Right to Buy) | $9.84 | holding | — | — | — | Mar 30, 2013 | Mar 30, 2022 | Common Stock | 82,710 | 82,710 | D |
| Non-qualified Stock Option (Right to Buy) | $8.86 | holding | — | — | — | Mar 28, 2014 | Mar 28, 2023 | Common Stock | 115,207 | 115,207 | D |
| Non-qualified Stock Option (Right to Buy) | $9.27 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Common Stock | 244,141 | 244,141 | D |
Explanation of responses
- F1Represents vesting of performance based stock awards.
- F2Represents shares withheld to cover taxes on unvested stock awards due to retirement eligibility.
- F3Represents restricted stock units that cliff vest on the third anniversary of date of grant.