IPO registrations (S-1, F-1) · Registrants
FINANCIAL INSTITUTIONS INC
- SEC CIK
- 862831 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 1999-04-23, last 1999-06-23; 1 initial registration, 2 amendments
- Outcome
- Final prospectus filed 1999-06-25
- Industry (SIC)
- National Commercial Banks 6021
- Incorporated in
- NY
- Business address
- 220 LIBERTY STREET, Warsaw, NY 14569
- EIN
- 16-0816610
- Ticker
- FISI, FIISO, FIISP (Nasdaq, OTC, OTC)
- EDGAR entity type
- operating
- Insiders and CEO pay
- FINANCIAL INSTITUTIONS INC on the corporate pages
Offering terms
- Final price
- $14.00 per share (424B1 filed 1999-06-25, an initial public offering)
- Shares sold
- 430,200 (903,133 by the company, 430,200 by selling holders)
- Gross proceeds
- $6,022,800 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol FISI
- Lead underwriters
- CIBC World Markets (604,168 shares); KBW (604,165 shares)
- Syndicate
- A.G. Edwards (25,000); Citigroup (25,000); Advest, Inc (12,500); First Albany Corporation (12,500); Ryan, Beck & Co., Inc (12,500); Sage, Rutty & Co., Inc (12,500); Trubee, Collins & Co (12,500); Tucker Anthony Cleary Gull (12,500)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: FINANCIAL INSTITUTIONS, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: FINANCIAL INSTITUTIONS, INC. EXACT (EIN (EXACT))
- Form D issuer: FINANCIAL INSTITUTIONS INC EXACT (CIK (EXACT))
- SEC filer: FINANCIAL INSTITUTIONS INC EXACT (CIK (EXACT))
- Person page: Charles J Guarino Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Craig J Burton Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Erland E Kailbourne Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Kim E Vangelder Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Mauricio F Riveros Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Reid A Whiting Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Sean M Willett Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Thomas P Connolly Esq Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Valerie C Benjamin Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
Filings 4
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 1999-04-23 | S-1 | S-1 (registration) | FINANCIAL INSTITUTIONS INC | 0000901309-99-000091 ↗ |
| 1999-06-11 | S-1/A | S-1/A (amendment) | FINANCIAL INSTITUTIONS INC | 0000950130-99-003613 ↗ |
| 1999-06-23 | S-1/A | S-1/A (amendment) | FINANCIAL INSTITUTIONS INC | 0000950130-99-003770 ↗ |
| 1999-06-25 | 424B1 | 424B1 (final prospectus) | FINANCIAL INSTITUTIONS INC | 0000950130-99-003807 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 1999-06-23 | S-1/A | registration statement | 1,333,333 | - | Nasdaq FISI | 2 | from the submission text; shares headline, cover names 2 | document ↗ | ||
| 1999-06-25 | 424B1 | final prospectus | $14.00 | 430,200 | $6,022,800 | Nasdaq FISI | 10 | from the submission text; price sentence, shares headline, proceeds computed, underwriting table 10, cover names 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| HAGI GEORGE DANIEL | Officer | Chief Risk Officer; Executive Vice President; Exec. VP & Chief Risk Officer | 26 | 2006–2012 | |
| NAGLE BRUCE HEATH | Officer | Senior Vice President; Sr VP & Dir of Human Resources | 12 | 2006–2010 | |
| KLOTZBACH KEVIN B | Officer | EVP & Chief Financial Officer; Senior Vice President; Senior VP & Treasurer | 37 | 2006–2019 | |
| MILLER RONALD A | Officer | EVP & Chief Financial Officer; Exec. VP and CFO | 15 | 2006–2009 | |
| WYCKOFF JAMES H | Director | 21 | 2006–2018 | ||
| GULLO SAMUEL M | Director | 27 | 2006–2024 | ||
| DAMBRA BARTON P | Director | 13 | 2006–2013 | ||
| ANDERSON KARL VALENTINE JR | Director | 21 | 2006–2020 | ||
| BENJAMIN JOHN E | Director | 14 | 2006–2017 | ||
| Connolly Thomas P | Director | 4 | 2006–2009 | person page Fuzzy | |
| HOLLIDAY SUSAN R | Director | 29 | 2006–2026 | ||
| HURLEY JOSEPH F | Director | 1 | 2006 | ||
| KAILBOURNE ERLAND E | Director | 23 | 2006–2018 | person page Fuzzy | |
| Latella Robert N | Director | 30 | 2006–2026 | ||
| TYLER JOHN R JR | Director | 4 | 2006–2009 | ||
| HUMPHREY PETER G | Director; Director,Officer | Former Pres & CEO; Pres & Chief Executive Officer | 40 | 2006–2014 | |
| RUDGERS JAMES TRACY | Officer | EVP & Chief of Comm. Banking | 6 | 2006–2009 | |
| ROBINSON JAMES LEON | Director | 13 | 2007–2015 | ||
| BIRMINGHAM MARTIN KEARNEY | Officer | Executive Vice President; President; President & CEO; Senior Vice President | 74 | 2009–2026 | |
| HARRISON RICHARD J | Officer | Executive Vice President; Senior Vice President | 27 | 2009–2016 | |
| MCLAUGHLIN RONALD MITCHELL | Officer | Executive Vice President; Senior Vice President | 21 | 2009–2014 | |
| MURTHA MATTHEW T | Officer | Senior Vice President | 1 | 2009 | |
| WITKOWSKI JOHN JOSEPH | Officer | Executive Vice President; Senior Vice President | 15 | 2009–2012 | |
| KREBS KARL FRANCIS | Officer | EVP & Chief Financial Officer | 18 | 2009–2013 | |
| RIZZO JOHN LEONARD | Officer | SVP & Corporate Secretary | 7 | 2010–2013 | |
| BARTOL RITA MARIE | Officer | Senior Vice President | 10 | 2010–2013 | |
| WINN KENNETH VINCENT | Officer | EVP & Chief Risk Officer | 10 | 2012–2014 | |
| GROVER MICHAEL DAVID | Officer | Chief Accounting Officer; Senior Vice President | 14 | 2013–2019 | |
| Dumbleton Sonia Marie | Officer | Senior Vice President | 24 | 2013–2024 | |
| Kenefick Jeffrey Patrick | Officer | Executive Vice President; Senior Vice President | 17 | 2013–2018 | |
| Dolan Paula Dollinger | Officer; Other | Senior Vice President | 13 | 2013–2018 | |
| DORN ANDREW W JR | Director | 27 | 2014–2026 | ||
| Glaser Robert M | Director | 32 | 2014–2026 | ||
| KREIENBERG WILLIAM L | Officer | EVP, CAO, Gen'l Counsel & CRO; EVP, General Counsel & CRO; Executive Vice President; General Counsel & CRO | 28 | 2014–2020 | |
| Burneal Michael D | Officer | Senior Vice President | 6 | 2016–2018 | |
| Guarino Charles J | Officer | Senior Vice President | 8 | 2016–2018 | person page Fuzzy |
| VanGelder Kim E | Director | 21 | 2016–2026 | person page Fuzzy | |
| Case David G | Officer | Senior Vice President | 11 | 2016–2020 | |
| DUGAN JOSEPH L | Officer | Senior Vice President | 14 | 2016–2020 | |
| Burruano Samuel J Jr | Officer | Chief Legal Officer; Executive Vice President; Senior Vice President | 26 | 2017–2026 | |
| Burton Craig J | Officer | Senior Vice President | 5 | 2017–2020 | person page Fuzzy |
| Caraccio Vito | Officer | Senior Vice President | 4 | 2017–2018 | |
| Oexle Edward S | Officer | Senior Vice President | 4 | 2017–2019 | |
| BOSWELL DONALD | Director | 18 | 2017–2025 | ||
| WILLET SEAN M | Officer | Executive Vice President; Senior Vice President | 14 | 2017–2023 | person page Fuzzy |
| Burlew Dawn H | Director | 19 | 2017–2026 | ||
| Benjamin Valerie C | Officer | Senior Vice President | 4 | 2018–2020 | person page Fuzzy |
| Bigham Justin K. | Officer | Executive Vice President | 13 | 2018–2023 | |
| Bowers Bethany L. | Officer | Vice President | 2 | 2019 | |
| Phillips Randall R. | Officer | Senior Vice President | 7 | 2019–2022 | |
| Quinn Kevin B | Officer | Chief Comm Banking Officer; Senior Vice President | 16 | 2020–2026 | |
| Plants William Jack II | Officer | Chief Financial Officer | 19 | 2021–2026 | |
| Riveros Mauricio F | Director | 7 | 2021–2024 | person page Fuzzy | |
| Zupan Mark | Director | 14 | 2021–2026 | ||
| Collins Laurie R | Officer | Chief Human Resources Officer; Senior Vice President | 17 | 2021–2026 | |
| HARTING BRUCE W | Director | 6 | 2022–2026 | ||
| PACOS GARY A. | Officer | Chief Risk Officer | 8 | 2023–2026 | |
| WHITING REID A | Officer | Chief Banking Officer | 3 | 2023–2024 | person page Fuzzy |
| JONES BLAKE G | Officer | Chief Marketing Officer | 8 | 2023–2026 | |
| BYERS SANDRA L | Other | 8 | 2024–2026 | ||
| PANZARELLA ANGELA J | Director | 5 | 2025–2026 | ||
| MARKS ERIC W. | Officer | Chief Consumer Baking Officer; Chief Consumer Banking Officer | 6 | 2025–2026 | |
| Schrader Robert L. | Director | 3 | 2025–2026 | ||
| Bovenzi David | Director | 2 | 2026 | ||
| Finch Steven C. | Director | 2 | 2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2025-12-17 | FINANCIAL INSTITUTIONS INC | Commercial Banking | $80,000,000 | $80,000,000 | 35 | 1 |
| 2020-10-15 | FINANCIAL INSTITUTIONS INC | Commercial Banking | $35,000,000 | $35,000,000 | 20 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | FINANCIAL INSTITUTIONS, INC. | NY | State business registries | name and state |
| Plan sponsor | FINANCIAL INSTITUTIONS, INC. | NY | Form 5500 (employee benefit plans) | name and state |
| Form D issuer | FINANCIAL INSTITUTIONS INC | NY | Form D private offerings | CIK (EXACT) |
| SEC filer | FINANCIAL INSTITUTIONS INC | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Financial Institutions, Inc. | NY | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | FINANCIAL INSTITUTIONS, INC. | EIN (EXACT) | ||
| Person page | Charles J Guarino | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Craig J Burton | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Erland E Kailbourne | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Kim E Vangelder | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Mauricio F Riveros | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Reid A Whiting | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Sean M Willett | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Thomas P Connolly Esq | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Valerie C Benjamin | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry National Commercial Banks, NY first:
- FIRST NIAGARA FINANCIAL GROUP INC NY
- STERLING BANCORP NY
- TROY FINANCIAL CORP NY
- PARTNERS TRUST FINANCIAL GROUP INC NY
- JPMorgan Chase Capital XVI NY
- JPMorgan Chase Capital XVIII NY
- JPMorgan Chase Capital XIX NY
- WESTERN LIBERTY BANCORP NY
- Seneca Bancorp, Inc. NY
- SUFFOLK BANCORP NY
In other datasets, the same topic (Finance) in NY:
- Lobbying client: 3B1 PARTNERS (Federal lobbying (LDA))
Interests: National Commercial Banks · Finance