Filing Details

Accession Number:
0001127602-13-029004
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-10-07 16:07:44
Reporting Period:
2013-10-03
Filing Date:
2013-10-07
Accepted Time:
2013-10-07 16:07:44
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1051741 First Niagara Financial Group Inc FNFG National Commercial Banks (6021) 161545669
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1299911 E Thomas Baker 726 Exchange Street
Suite 618
Buffalo NY 14210
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-10-03 2,389 $10.23 82,372 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,725 Indirect By Spouse
Series B Nonconvertible Preferred Stock 4,000 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Dividend Equivalent Units (deu) $0.00 2,570 2,570 Direct
Common Stock Non-qualified Stock Option (Right to Buy) $13.60 2008-05-15 2017-05-15 33,060 33,060 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2,570 2,570 Direct
2017-05-15 33,060 33,060 Direct
Footnotes
  1. DEUs have no exercise price.
  2. DEUs convert into common stock on a 1-for-1 basis.
  3. DEUs have no expiration date.