Form 4 FINANCIAL INSTITUTIONS For: Jun 16 Filed by: Glaser Robert M
June 21, 2021 12:05 PM EDT
| 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
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
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
*
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
FINANCIAL INSTITUTIONS INC
[
FISI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
|
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
3. Date of Earliest Transaction
(Month/Day/Year)
06/16/2021
|
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
|
06/16/2021 |
|
A |
|
935
|
A
|
$
0
|
26,702
|
D
|
|
|
Common Stock
|
06/16/2021 |
|
A |
|
1,013
|
A
|
$
32.06
|
27,715
|
D
|
|
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 |
| Explanation of Responses: |
|
W. Jack Plants II, by power of attorney |
06/21/2021 |
|
** 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. |
LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS
The undersigned hereby constitutes and appoints each of Michael D. Grover,
Sonia M. Dumbleton and W. Jack Plants II as the undersigned's true and lawful
attorney-in-fact, and grants each of them full power to act on behalf of the
undersigned and in the undersigned's name, place and stead, for the purpose of
completing and signing, on behalf of the undersigned, any Form 3, Form 4 or Form
5 (including any amendments thereto) required or permitted to be filed by the
undersigned pursuant to Section 16 of the Securities Exchange Act of 1934, as
amended (the "Exchange Act"), with regard to the undersigned's holdings of or
transactions in the securities of Financial Institutions, Inc., and to file such
forms (and amendments thereto) with the Securities and Exchange Commission, and
to do and perform each and every act and thing requisite or necessary to be done
in connection with such forms (and amendments thereto,) as fully and to all
intents and purposes as the undersigned might or could do in person.
The authority of Michael D. Grover, Sonia M. Dumbleton and W. Jack Plants
II under this Limited Power of Attorney shall continue until the undersigned is
no longer required to file forms under Section 16(a) of the Exchange Act with
regard to the undersigned's holdings of or transactions in the securities of
Financial Institutions, Inc., unless earlier revoked by the undersigned in
writing.
The undersigned acknowledges that Michael D. Grover, Sonia M. Dumbleton
and W. Jack Plants II are not assuming any of the undersigned's responsibilities
to comply with Section 16 of the Exchange Act.
/s/ Robert M. Glaser
Signature
Name: Robert M. Glaser
Date: June 1, 2021
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