UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 19, 2010
FIRST NIAGARA FINANCIAL GROUP, INC.
(Exact name of registrant as specified in its charter)
Delaware | 000-23975 | 42-1556195 | ||
(State or other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
726 Exchange Street, Suite 618, Buffalo, NY |
14210 | |
(Address of Principal Executive Offices) | (Zip Code) |
Registrants telephone number, including area code: (716) 819-5500
Not Applicable |
(Former name or former address if changed since last report.) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
þ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 8.01 Other Events
On August 19, 2010, First Niagara Financial Group, Inc. (FNFG) announced its entry into a definitive agreement to acquire NewAlliance Bancshares, Inc. (NewAlliance) through the merger of FNFG Merger Sub, Inc., a wholly owned subsidiary of FNFG, with and into NewAlliance, with NewAlliance surviving as a wholly owned subsidiary of FNFG as of the effective time of the merger.
FNFG issued a press release in connection with the announcement, which is attached hereto as Exhibit 99.1 and is incorporated by reference herein.
Item 9.01 Financial Statements and Exhibits
(a) | Not Applicable. |
(b) | Not Applicable. |
(c) | Not Applicable. |
(d) | Exhibits. |
Exhibit No. | Description | |
99.1
|
Press release dated August 19, 2010 |
Additional Information and Where to Find It
In connection with the proposed merger, First Niagara Financial Group, Inc. (FNFG) will file with the SEC a Registration Statement on Form S-4 that will include a Proxy Statement of NewAlliance and a Prospectus of FNFG, as well as other relevant documents concerning the proposed transaction. Shareholders are urged to read the Registration Statement and the Proxy Statement/Prospectus regarding the merger when it becomes available and any other relevant documents filed with the SEC, as well as any amendments or supplements to those documents, because they will contain important information. You will be able to obtain a free copy of the Proxy Statement/Prospectus, as well as other filings containing information about FNFG and NewAlliance at the SECs Internet site (http://www.sec.gov). You will also be able to obtain these documents, free of charge, from FNFG at www.fnfg.com under the tab Investor Relations and then under the heading Documents or from NewAlliance by accessing NewAlliances website at www.newalliancebank.com under the tab Investors and then under the heading SEC Filings.
FNFG and NewAlliance and certain of their directors and executive officers may be deemed to be participants in the solicitation of proxies from the shareholders of NewAlliance in connection with the proposed merger. Information about the directors and executive officers of FNFG is set forth in the proxy statement for FNFGs 2010 annual meeting of shareholders, as filed with the SEC on a Schedule 14A on March 19, 2010. Information about the directors and executive officers of NewAlliance is set forth in the proxy statement for NewAlliances 2010 annual meeting of shareholders, as filed with the SEC on a Schedule 14A on March 11, 2010. Additional information regarding the interests of those participants and other persons who may be deemed participants in the transaction may be obtained by reading the Proxy Statement/Prospectus regarding the proposed merger when it becomes available. You may obtain free copies of this document as described in the preceding paragraph.
Forward-Looking Statements
Certain statements contained in this Current Report on Form 8-K that are not statements of historical fact constitute forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 (the Act), notwithstanding that such statements are not specifically identified as such. In addition, certain statements may be contained in our future filings with the SEC, in press releases, and in oral and written statements made by us or with our approval that are not statements of historical fact and constitute forward-looking statements within the meaning of the Act. Examples of forward-looking statements include, but are not limited to: (i) projections of revenues, expenses, income or loss, earnings or loss per share, the payment or nonpayment of dividends, capital structure and other financial items; (ii) statements of our plans, objectives and expectations or those of our management or Board of Directors, including those relating to products or services; (iii) statements of future economic
performance; and (iv) statements of assumptions underlying such statements. Words such as believes, anticipates,
expects, intends, targeted, continue, remain, will, should, may and other similar expressions are
intended to identify forward-looking statements but are not the exclusive means of identifying such statements.
Forward-looking statements involve risks and uncertainties that may cause actual results to differ materially from
those in such statements. Factors that could cause actual results to differ from those discussed in the
forward-looking statements include, but are not limited to: local, regional, national and international economic
conditions and the impact they may have on us and our customers and our assessment of that impact, changes in the level
of non-performing assets and charge-offs; changes in estimates of future reserve requirements based upon the periodic
review thereof under relevant regulatory and accounting requirements; the effects of and changes in trade and monetary
and fiscal policies and laws, including the interest rate policies of the Federal Reserve Board; inflation, interest
rate, securities market and monetary fluctuations; political instability; acts of war or terrorism; the timely
development and acceptance of new products and services and perceived overall value of these products and services by
users; changes in consumer spending, borrowings and savings habits; changes in the financial performance and/or
condition of our borrowers; technological changes; acquisitions and integration of acquired businesses; the ability to
increase market share and control expenses; changes in the competitive environment among financial holding companies
and other financial service providers; the quality and composition of our loan or investment portfolio; the effect of
changes in laws and regulations (including laws and regulations concerning taxes, banking, securities and insurance)
with which we and our subsidiaries must comply; the effect of changes in accounting policies and practices, as may be
adopted by the regulatory agencies, as well as the Public Company Accounting Oversight Board, the Financial Accounting
Standards Board and other accounting standard setters; changes in our organization, compensation and benefit plans; the
costs and effects of legal and regulatory developments, including the resolution of legal proceedings or regulatory or
other governmental inquiries and the results of regulatory examinations or reviews; greater than expected costs or
difficulties related to the opening of new branch offices or the integration of new products and lines of business, or
both; and/or our success at managing the risk involved in the foregoing items.
Forward-looking statements speak only as of the date on which such statements are made. We undertake no obligation to update any forward-looking statement to reflect events or circumstances after the date on which such statement is made, or to reflect the occurrence of unanticipated events.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
FIRST NIAGARA FINANCIAL GROUP, INC.
DATE: August 19, 2010
By:/s/ Michael W.
Harrington
Michael W. Harrington
Chief Financial Officer
(Duly authorized representative)
Exhibit Index
Exhibit No. | Description | |
99.1
|
Press release dated August 19, 2010 |