1. Name and Address of Reporting Person*
| 6950 SOUTH TRANSIT ROAD, P.O. BOX 514 | |
(Street)
| 2. Issuer Name and Ticker or Trading Symbol
FIRST NIAGARA FINANCIAL GROUP INC
[FNFG] | 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable) | Director | | 10% Owner | | X | Officer (give title below) | | Other (specify below) | | EVP - Operations |
|
3. Date of Earliest Transaction (Month/Day/Year)
09/08/2009 |
4. If Amendment, Date of Original Filed (Month/Day/Year)
| 6. Individual or Joint/Group Filing (Check Applicable Line)| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1.Title of Security
(Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code
(Instr. 8) | 4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) | 7. Nature of Indirect Beneficial Ownership
(Instr. 4) |
| Code | V | Amount | (A) or (D) | Price |
|
Common Stock
| 09/08/2009 | | D | |
1,183
| D | $
12.79
|
37,786
|
D
| |
|
Common Stock
| | | | | | | |
27,399
|
I
|
by 401K
|
|
Common Stock
| | | | | | | |
5,668
|
I
|
by ESOP
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
1. Title of Derivative Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5) | 6. Date Exercisable and Expiration Date
(Month/Day/Year) | 7. Title and Amount of Underlying Securities
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) | 11. Nature of Indirect Beneficial Ownership
(Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
|
Non-Qualified Stock Option (right to buy)
| $
4.8709
| | | | | | | 05/01/2002 | 05/01/2011 |
Common Stock
|
62,083
| |
62,083
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
11.6785
| | | | | | | 08/28/2003 | 08/28/2012 |
Common Stock
|
5,944
| |
5,944
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
12.02
| | | | | | | 01/28/2009 | 01/28/2018 |
Common Stock
|
27,747
| |
27,747
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
12.87
| | | | | | | 05/04/2005 | 05/04/2014 |
Common Stock
|
10,600
| |
10,600
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
12.91
| | | | | | | 12/28/2005 | 05/03/2015 |
Common Stock
|
25,100
| |
25,100
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
12.93
| | | | | | | 01/26/2010 | 01/26/2019 |
Common Stock
|
18,654
| |
18,654
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
13.28
| | | | | | | 05/21/2004 | 05/21/2013 |
Common Stock
|
8,900
| |
8,900
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
14.7
| | | | | | | 01/31/2008 | 01/31/2017 |
Common Stock
|
15,700
| |
15,700
|
D
| |
|
Non-Qualified Stock Option (right to buy)
| $
14.83
| | | | | | | 09/08/2007 | 09/08/2016 |
Common Stock
|
13,600
| |
13,600
|
D
| |
| By: Ann M. Segarra, power of attorney For: Frank J. Polino | 09/09/2009 |
| ** Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
