First Niagara Financial Group, Inc. LETTER OF TRANSMITTAL To Surrender 184,011 Shares of Fixed Rate Cumulative Perpetual Preferred Stock, Series A Pursuant to the Notice of Redemption dated April 23, 2009 THE REDEMPTION DATE IS May 27, 2009 By Mail, Hand or Overnight Courier First Niagara Financial Group, Inc. 6950 S. Transit Road P.O. Box 514 Lockport, NY 14095-0514 DESCRIPTION OF CERTIFICATE SURRENDERED Certificate Number of Certificate Enclosed Number Shares Name and Address of RegisteredHolder The United StatesDepartment ofTreasury, 1500PennsylvaniaAvenue, NW,Washington, DC20220 1 184,011 A SIGNATURE MUST BE PROVIDED BELOW.

Contract Categories: Business Finance - Stock Agreements
EX-10.2 2 c86148exv10w2.htm EXHIBIT 10.2 Exhibit 10.2
Exhibit 10.2
First Niagara Financial Group, Inc.
LETTER OF TRANSMITTAL
To Surrender 184,011 Shares of Fixed Rate Cumulative Perpetual Preferred Stock, Series A
Pursuant to the Notice of Redemption dated April 23, 2009
THE REDEMPTION DATE IS May 27, 2009
By Mail, Hand or Overnight Courier
First Niagara Financial Group, Inc.
6950 S. Transit Road
P.O. Box 514
Lockport, NY 14095-0514
DESCRIPTION OF CERTIFICATE SURRENDERED
                 
    Certificate     Number of  
Certificate Enclosed   Number     Shares  
Name and Address of Registered Holder
                
The United States Department of Treasury, 1500 Pennsylvania Avenue,
NW, Washington, DC 20220
     1       184,011  
A SIGNATURE MUST BE PROVIDED BELOW.
To First Niagara Financial Group, Inc:
The undersigned hereby surrenders for redemption to First Niagara Financial Group, Inc. (the “Company”) the enclosed 184,011 shares of Fixed Rate Cumulative Perpetual Preferred Stock, Series A, par value $.01, having a liquidation preference of $1,000 per share (the “Preferred Stock”) pursuant to the Company’s Notice of Redemption.
Subject to, and effective upon, the Company’s payment of the redemption price of $184,317,685.00 (constituting $184,011,000.00 principal amount and $306,685.00 interest) for the shares of Preferred Stock surrendered with this Letter of Transmittal, in accordance with the terms of the Notice of Redemption and the Preferred Stock, the undersigned hereby sells, assigns and transfers to the Company all right, title and interest in and to all shares of the Company’s Preferred Stock surrendered and all distributions and rights in respect of such shares after the date thereof. The Company’s acceptance of the shares from the undersigned will constitute a binding agreement between the undersigned and the Company upon the terms and subject to the conditions of the Notice of Redemption and the Preferred Stock.
UST Seq. No. 9

 

 

 

The undersigned hereby represents and warrants that: (a) the undersigned owns the Preferred Stock free and clear of any liens or other encumbrances; (b) the undersigned has full power and authority to surrender the Preferred Stock; (c) no agreement has been entered into to sell, assign or transfer any of the Preferred Stock to any other person; and (d) the undersigned will, upon request, executed and deliver any additional documents deemed by the depository or the Company to be necessary or desirable to complete the surrender of the Preferred Stock.
[Signature Pages to Follow]
UST Seq. No. 9

 

 

 

This Letter of Transmittal must be signed by the registered holder exactly as the name appears on the stock certificate.
         
/s/ Duane Morse    
     
Duane Morse    
Chief Risk and Compliance Officer    
United States Department of the Treasury    
 
        
Date:
  May 27, 2009    
 
       
 
        
Acknowledged:    
 
        
/s/ John Mineo    
     
First Niagara Financial Group, Inc.    
John Mineo    
General Counsel & Corporate Secretary    
 
        
Date:
  May 27, 2009    
 
       
UST Seq. No. 9