SEC Form 4 · accession 0001209191-15-077990
FINANCIAL INSTITUTIONS INC · FISI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin B Klotzbach
Officer — EVP & Chief Financial Officer
Period of report
Nov 2, 2015
Accepted (ET)
Nov 3, 2015 · 2:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000862831
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 2, 2015 | M | 1,650 | $19.75 | A | 22,311 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | Held in IRA | |
| Common StockF1 | holding | — | — | — | 4,929 | I | Held under 401K plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $19.75 | Nov 2, 2015 | M | 1,650 | D | Jul 26, 2007 | Jul 26, 2016 | Common Stock | 1,650 | 0 | D |
Explanation of responses
- F1Includes 420 shares acquired under the FISI 401(k) plan since the date of the reporting person's last ownership report.
- F2Option vests in four equal annual installments beginning on July 26, 2007.