Filing Details
- Accession Number:
- 0001051741-14-000101
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-13 16:20:50
- Reporting Period:
- 2014-11-12
- Filing Date:
- 2014-11-13
- Accepted Time:
- 2014-11-13 16:20:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1496282 | R Mark Rendulic | 726 Exchange Street Suite 618 Buffalo NY 14210 | Evp, Retail Banking | 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 | Acquisiton | 2014-11-12 | 6,514 | $7.79 | 9,910 | No | 4 | P | Indirect | By 401k |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By 401k |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 121,776 | Direct | |
| Series B Nonconvertible Preferred Stock | 1,000 | Direct | |
| Common Stock | 699 | 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) | $13.79 | 2012-01-24 | 2021-01-24 | 19,536 | 19,536 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $9.84 | 2013-03-30 | 2022-03-30 | 35,046 | 35,046 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $8.86 | 2014-03-28 | 2023-03-28 | 52,650 | 52,650 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $9.27 | 2015-03-28 | 2024-03-28 | 46,387 | 46,387 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-01-24 | 19,536 | 19,536 | Direct |
| 2022-03-30 | 35,046 | 35,046 | Direct |
| 2023-03-28 | 52,650 | 52,650 | Direct |
| 2024-03-28 | 46,387 | 46,387 | Direct |
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