SEC Form 4 · accession 0001051741-16-000301
FIRST NIAGARA FINANCIAL GROUP INC · FNFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R Rendulic
Officer — EVP, Retail Banking
Period of report
Apr 24, 2016
Accepted (ET)
Apr 26, 2016 · 4:37 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 Stock | Apr 24, 2016 | F | 9,729 | $10.70 | D | 165,908 | D | |
| Series B Nonconvertible Preferred Stock | holding | — | — | — | 1,000 | D | ||
| Common Stock | holding | — | — | — | 897 | I | By ESOP | |
| Common Stock | holding | — | — | — | 10,349 | I | By 401k |
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) | $13.79 | holding | — | — | — | Jan 24, 2012 | Jan 24, 2021 | Common Stock | 19,536 | 19,536 | D |
| Non-qualified Stock Option (Right to Buy) | $8.86 | holding | — | — | — | Mar 28, 2014 | Mar 28, 2023 | Common Stock | 17,550 | 17,550 | D |
| Non-qualified Stock Option (Right to Buy) | $9.27 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Common Stock | 30,924 | 30,924 | D |