SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Harrington Michael W

(Last) (First) (Middle)
6950 SOUTH TRANSIT ROAD

(Street)
LOCKPORT NY 14094

(City) (State) (Zip)
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)
Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
11/01/2010
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 11/01/2010 A 3,948(1) A $0 30,573 D
Common Stock 11,464 I By 401k
Common Stock 2,925 I By Esop
Common Stock 199 I By Son
Common Stock 505 I By Spouse
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 Securities Underlying Derivative Security (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: 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) $11.78 04/07/2004 04/07/2013 Common Stock 12,000 12,000 D
Non-qualified Stock Option (Right to Buy) $13.28 05/21/2004 05/21/2013 Common Stock 6,200 6,200 D
Non-qualified Stock Option (Right to Buy) $12.87 05/04/2005 05/04/2014 Common Stock 14,000 14,000 D
Non-qualified Stock Option (Right to Buy) $12.91 12/31/2005 05/03/2015 Common Stock 17,500 17,500 D
Non-qualified Stock Option (Right to Buy) $14.7 01/31/2008 01/31/2017 Common Stock 14,100 14,100 D
Non-qualified Stock Option (Right to Buy) $12.02 01/28/2009 01/28/2018 Common Stock 40,020 40,020 D
Non-qualified Stock Option (Right to Buy) $12.93 01/26/2010 01/26/2019 Common Stock 30,621 30,621 D
Non-qualified Stock Option (Right to Buy) $14.44 01/25/2011 01/25/2020 Common Stock 29,223 29,223 D
Explanation of Responses:
1. Represents restricted stock that vests 100% on January 25, 2013.
Ann M. Segarra, power of attorney for Michael W. Harrington 11/02/2010
** 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.
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