SEC Form 4 · accession 0001209191-17-005755
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
Jan 25, 2017
Accepted (ET)
Jan 26, 2017 · 5:15 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 StockF1 | Jan 25, 2017 | D | 1,644 | $0.00 | D | 22,261 | D | |
| Common StockF2 | holding | — | — | — | 5,366 | I | Held under 401K plan | |
| Common Stock | holding | — | — | — | 1,000 | I | Held in IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3 | — | Jan 25, 2017 | A | 1,414 | A | Feb 24, 2019 | Feb 24, 2019 | Common Stock | 1,414 | 1,414 | D |
Explanation of responses
- F1These shares reflect the forfeiture of restricted stock due to performance requirements that were not satisfied.
- F2Includes 153 shares acquired under the FISI 401(k) plan since the date of the reporting person's last ownership report.
- F3Each restricted stock unit represents a contingent right to receive one share of FISI common stock.