SEC Form 4 · accession 0001209191-18-014933
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
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 4:00 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 | holding | — | — | — | 18,859 | D | ||
| Common StockF1 | holding | — | — | — | 5,730 | 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 UnitF2 | — | Feb 27, 2018 | A | 1,747 | A | Feb 27, 2021 | Feb 27, 2021 | Common Stock | 1,747 | 1,747 | D |
Explanation of responses
- F1Includes 21 shares acquired under the FISI 401(k) plan since the date of the reporting person's last ownership report.
- F2Each restricted stock unit represents a contingent right to receive one share of FISI common stock.