Filing Details
- Accession Number:
- 0001127602-11-032199
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-14 11:34:07
- Reporting Period:
- 2011-12-14
- Filing Date:
- 2011-12-14
- Accepted Time:
- 2011-12-14 11:34:07
- 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 |
|---|---|---|---|---|---|---|---|
| 1341742 | John Mineo | 726 Exchange Street Suite 618 Buffalo NY 14210 | Senior Vp - General Counsel | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Series B Nonconvertible Preferred Stock | Acquisiton | 2011-12-14 | 200 | $25.00 | 200 | 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 | 25,395 | Direct | |
| Common Stock | 2,438 | Indirect | By 401k |
| Common Stock | 2,329 | 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) | $13.52 | 2006-05-23 | 2015-05-23 | 16,000 | 16,000 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $14.83 | 2007-09-08 | 2016-09-08 | 29,167 | 29,167 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $14.70 | 2008-01-31 | 2017-01-31 | 14,300 | 14,300 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $12.02 | 2009-01-28 | 2018-01-28 | 23,478 | 23,478 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $12.93 | 2010-01-26 | 2019-01-26 | 15,783 | 15,783 | Direct |
| Common Stock | Non-qualified Stock Option (Right to Buy) | $14.44 | 2011-01-25 | 2020-01-25 | 14,418 | 14,418 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-05-23 | 16,000 | 16,000 | Direct |
| 2016-09-08 | 29,167 | 29,167 | Direct |
| 2017-01-31 | 14,300 | 14,300 | Direct |
| 2018-01-28 | 23,478 | 23,478 | Direct |
| 2019-01-26 | 15,783 | 15,783 | Direct |
| 2020-01-25 | 14,418 | 14,418 | Direct |
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