-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ErFBvsnPrLnYI2UlDFrt8JhwdntSXqhi0wrEf2OsB/NfSMg2w79IKrhXERWfjPtM Xedi195rVA+jL3EK5JW9Vw== 0000901309-00-000092.txt : 20000307 0000901309-00-000092.hdr.sgml : 20000307 ACCESSION NUMBER: 0000901309-00-000092 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 DATE AS OF CHANGE: 20000303 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL INSTITUTIONS INC CENTRAL INDEX KEY: 0000862831 STANDARD INDUSTRIAL CLASSIFICATION: 6021 IRS NUMBER: 160816610 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58385 FILM NUMBER: 544310 BUSINESS ADDRESS: STREET 1: 220 LIBERTY STREET CITY: WARSAW STATE: NY ZIP: 14569 BUSINESS PHONE: 7167861100 MAIL ADDRESS: STREET 1: 220 LIBERTY STREET CITY: WARSAW STATE: NY ZIP: 14569 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HUMPHREY DONALD G CENTRAL INDEX KEY: 0001106830 STANDARD INDUSTRIAL CLASSIFICATION: FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 220 LIBERTY STREET CITY: WARSAW STATE: NY ZIP: 14569 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 -------------------------------------------- SCHEDULE 13G -------------------------------------------- INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL INSTITUTIONS, INC. (NAME OF ISSUER) COMMON STOCK $.01 PAR VALUE (TITLE OF CLASS OF SECURITIES) 317585 40 4 (CUSIP NUMBER) DECEMBER 31, 1999 - - - ---------------------------------------------------------------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1 (b) [x ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) CUSIP NO. 317585 40 4 13G Page 2 of 4 pages 1. NAME OF REPORTING PERSON, I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): Donald G. Humphrey 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*: (a) [ ] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZTION: United States NUMBER OF SHARES 5. SOLE VOTING POWER: 627,765 BENEFICIALLY OWNED 6. SHARED VOTING POWER: BY EACH REPORTING PERSON 7. SOLE DISPOSITIVE POWER: 627,765 WITH 8. SHARED DISPOSITIVE POWER: 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 627,765 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [ ] 10. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 5.7% 11. TYPE OF REPORTING PERSON*: IN CUSIP NO. 317585 40 4 13G Page 3 of 4 pages SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 FINANCIAL INSTITUTIONS, INC. (Name of Company) ITEM 1(A). NAME OF ISSUER: Financial Institutions, Inc. ITEM 1(B). ADDRESS OF ISSUER"S PRINCIPAL EXECUTIVE OFFICES: 220 Liberty Street, Warsaw, New York 14569 ITEM 2(A). NAME OF PERSON FILING: Donald G. Humphrey ITEM 2(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 3790 West Lake Road, Perry, New York 14530 ITEM 2(C) CITIZENSHIP U.S. citizen ITEM 2(D) TITLE OF CLASS OF SECURITIES: Common Stock $.01 par value ITEM 2(E) CUSIP NUMBER: 317585 40 4 ITEM (3) IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1 (B), OR 13D-2 (B) OR (C), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or Dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act") (b) [ ] Bank as defined in Section 3 (a) (6) of the Act (c) [ ] Insurance Company as defined in Section 3 (a) (19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940. (e) [ ] An investment adviser in accordance with Rule 13d-1 (b) (1) (ii) (E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule13d-1 (b) (1) (ii) (F); (g) [ ] A parent holding company or control person i accordance with Rule 13d-1 (b) (1) (ii) (G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] A Group, in accordance with Rule 13d-1 (b) (1 (ii) (J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [ x ] CUSIP NO. 317585 40 4 13G Page 4 of 4 pages ITEM 4. OWNERSHIP (A) AMOUNT BENEFICIALLY OWNED: 627,765 Common Stock $.01 par value (B) PERCENT OF CLASS 5.7% (C) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (I) SOLE POWER TO VOTE OR DIRECT THE VOTE: 627,765 Common Stock $.01 par value (II) SHARED POWER TO VOTE OR DIRECT THE VOTE: None. (III) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION OF: 627,765 Common Stock $.01 par value (IV) SHARED POWER TO DISPOE OR DIRECT THE DIPOSITION OF: None. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFIACTION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURES After reasonable inquiry and to the best of his and its knowledge and belief, he undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: February 14, 2000 /s/ Ronald A. Miller - - - ---------------------- Donald G. Humphrey By Ronald A. Miller, as Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----