Filing Details
- Accession Number:
- 0001384485-10-000016
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-24 13:00:00
- Reporting Period:
- 2010-02-16
- Filing Date:
- 2010-03-24
- Accepted Time:
- 2010-03-24 15:55:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1051741 | First Niagara Financial Group Inc | FNFG | Savings Institutions, Not Federally Chartered (6036) | 161545669 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1237048 | J Frank Polino | 6950 South Transit Road P.o. Box 514 Lockport NY 14095-0514 | Evp - Operations | No | Yes | 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 | Disposition | 2010-02-16 | 62,083 | $13.77 | 41,249 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-03-22 | 3,448 | $0.00 | 44,697 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 28,327 | Indirect | by 401K |
| Common Stock | 6,573 | Indirect | by ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | $11.68 | 2003-08-28 | 2012-08-28 | 5,944 | 5,944 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $12.02 | 2009-01-28 | 2018-01-28 | 27,747 | 27,747 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $12.87 | 2005-05-04 | 2014-05-04 | 10,600 | 10,600 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $12.91 | 2005-12-28 | 2015-05-03 | 25,100 | 25,100 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $12.93 | 2010-01-26 | 2019-01-26 | 18,654 | 18,654 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $13.28 | 2004-05-21 | 2013-05-21 | 8,900 | 8,900 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $14.44 | 2011-01-25 | 2020-01-25 | 15,861 | 15,861 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $14.70 | 2008-01-31 | 2017-01-31 | 15,700 | 15,700 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $14.83 | 2007-09-08 | 2016-09-08 | 13,600 | 13,600 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-08-28 | 5,944 | 5,944 | Direct |
| 2018-01-28 | 27,747 | 27,747 | Direct |
| 2014-05-04 | 10,600 | 10,600 | Direct |
| 2015-05-03 | 25,100 | 25,100 | Direct |
| 2019-01-26 | 18,654 | 18,654 | Direct |
| 2013-05-21 | 8,900 | 8,900 | Direct |
| 2020-01-25 | 15,861 | 15,861 | Direct |
| 2017-01-31 | 15,700 | 15,700 | Direct |
| 2016-09-08 | 13,600 | 13,600 | Direct |
Footnotes
- Option exercises reported on 2/16/10 were not properly reported as a same-day-sale. This transaction amends the 2/16/10 form 4 to report the same-day-sale.
- Represents vesting of performance based stock awards net of shares traded for applicable taxes.
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