0001193125-12-357215.txt : 20120815 0001193125-12-357215.hdr.sgml : 20120815 20120815140116 ACCESSION NUMBER: 0001193125-12-357215 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120815 DATE AS OF CHANGE: 20120815 EFFECTIVENESS DATE: 20120815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST NIAGARA BANK CENTRAL INDEX KEY: 0001061304 IRS NUMBER: 161511151 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07114 FILM NUMBER: 121036581 BUSINESS ADDRESS: STREET 1: 6950 SOUTH TRANSIT ROAD STREET 2: P.O. BOX 514 CITY: LOCKPORT STATE: NY ZIP: 14095-0514 BUSINESS PHONE: 716-625-7563 MAIL ADDRESS: STREET 1: 6950 SOUTH TRANSIT ROAD STREET 2: P.O. BOX 514 CITY: LOCKPORT STATE: NY ZIP: 14095-0514 FORMER COMPANY: FORMER CONFORMED NAME: NIAGARA INVESTMENT ADVISORS INC/NY DATE OF NAME CHANGE: 19990407 13F-HR 1 d396006d13fhr.txt FORM 13F-HR ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2012 Check here if Amendment [_]; Amendment Number: ________________________________ This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: First Niagara Private Client Services, a division of First Niagara Bank, National Association Address: 401 Plymouth Road Plymouth Meeting, PA 19462 Form 13F File Number: 028-7114 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Lisa M. Gilmore Title: FVP Phone: (860) 293 - 4140 Signature, Place, and Date of Signing: /s/ Lisa M. Gilmore Hartford, CT 08/15/12 _______________________ ________________________ _______________________ [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-____________________ ________________________________________________ ================================================================================ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: ____________ Form 13F Information Table Entry Total: 219 Form 13F Information Table Value Total: $422,514 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28-____________________ ____________________________________ [Repeat as necessary.]
Investment Discretion Voting Authority Market Value ------------------------ -------------------- CUSIP Asset_Short_Nm Class x1000 Shares Sole Shared Total None Sole Shared None --------- ------------------------------------ ------- ------------ -------- ------ ------ ---------- ------ ------ ------ 88579Y101 3M CO COMMON 7934 88547 49465 39082 49465 39082 000375204 ABB LTD SPONS ADR COMMON 1177 72150 65175 6975 65175 6975 001055102 AFLAC INC COMMON 252 5920 4720 1200 4720 1200 00206R102 AT&T INC COMMON 7413 207869 163664 44205 163664 44205 002824100 ABBOTT LABS COMMON 8278 128401 98169 30232 98169 30232 00724F101 ADOBE SYS INC COMMON 1243 38408 34308 4100 34308 4100 00817Y108 AETNA INC COMMON 641 16537 15917 620 15917 620 00846U101 AGILENT TECHNOLOGIES INC COMMON 387 9850 9150 700 9150 700 009158106 AIR PRODUCTS & CHEMICALS INC COMMON 1636 20264 18202 2062 18202 2062 018490102 ALLERGAN INC COMMON 263 2838 2838 2838 020002101 ALLSTATE CORP COMMON 314 8944 1644 7300 1644 7300 02209S103 ALTRIA GROUP INC COMMON 2580 74683 54697 19986 54697 19986 023135106 AMAZON.COM INC COMMON 308 1348 1348 1348 025537101 AMERICAN ELEC PWR INC COMMON 228 5719 2039 3680 2039 3680 025816109 AMERICAN EXPRESS CO COMMON 1058 18173 5261 12912 5261 12912 03027X100 AMERICAN TOWER CORP REIT COMMON 313 4475 4225 250 4225 250 031162100 AMGEN INC COMMON 1215 16667 15457 1210 15457 1210 032095101 AMPHENOL CORP COMMON 292 5312 5312 5312 034164103 ANDERSONS INCORPORATED COMMON 235 5500 5500 5500 035710409 ANNALY CAPITAL MANAGEMENT REIT COMMON 237 14080 14080 14080 037411105 APACHE CORP COMMON 2900 32994 28039 4955 28039 4955 037833100 APPLE INC COMMON 11813 20227 17228 2999 17228 2999 03836W103 AQUA AMERICA INC COMMON 260 10399 10399 10399 04010L103 ARES CAPITAL CORP COMMON 610 38230 30025 8205 30025 8205 052769106 AUTODESK INC COMMON 477 13626 12741 885 12741 885 053015103 AUTOMATIC DATA PROCESSING INC COMMON 3986 71611 53129 18482 53129 18482 054303102 AVON PRODUCTS INC COMMON 239 14751 13548 1203 13548 1203 055622104 BP PLC SPONS ADR COMMON 1794 44250 35922 8328 35922 8328 060505104 BANK OF AMERICA CORP COMMON 1491 182312 109847 72465 114847 67465 062540109 BANK OF HAWAII CORP COMMON 348 7563 5671 1892 5671 1892 064058100 BANK OF NEW YORK MELLON CORP COMMON 1005 45772 40183 5589 40183 5589 067806109 BARNES GROUP INC COMMON 30185 1248119 947301 300818 947301 300818 071813109 BAXTER INTL INC COMMON 1330 25021 20871 4150 20871 4150 073730103 BEAM INC-W/I COMMON 849 13592 9192 4400 9192 4400 075887109 BECTON DICKINSON COMMON 2833 37898 16236 21662 16236 21662 081437105 BEMIS INC COMMON 532 16975 16975 16975 084670108 BERKSHIRE HATHAWAY INC CLASS A COMMON 250 2 1 1 1 1 084670702 BERKSHIRE HATHAWAY INC-CL B COMMON 1352 16224 13778 2446 13778 2446 09062X103 BIOGEN IDEC INC COMMON 344 2380 2380 2380 097023105 BOEING CO COMMON 2147 28901 23106 5795 23106 5795 110122108 BRISTOL MYERS SQUIBB CO COMMON 2810 78173 37083 41090 37083 41090 125509109 CIGNA CORP COMMON 3004 68272 64786 3486 64786 3486 12572Q105 CME GROUP INC. COMMON 201 750 750 750 126408103 CSX CORP COMMON 856 38304 38304 38304 126650100 CVS CAREMARK CORP COMMON 3893 83304 74867 8437 74867 8437 134429109 CAMPBELL SOUP CO COMMON 588 17611 7811 9800 7811 9800 143130102 CARMAX INC COMMON 512 19720 17795 1925 17795 1925 149123101 CATERPILLAR INC COMMON 578 6803 5303 1500 5303 1500 151020104 CELGENE CORP COMMON 285 4435 4435 4435 15189T107 CENTERPOINT ENERGY INC COMMON 252 12191 2033 10158 2033 10158 156700106 CENTURYLINK INC COMMON 618 15654 7712 7942 7712 7942
156782104 CERNER CORP COMMON 1438 17400 13550 3850 13550 3850 166764100 CHEVRON CORPORATION COMMON 9705 91989 79596 12393 79596 12393 171232101 CHUBB CORP COMMON 600 8235 7385 850 7385 850 17275R102 CISCO SYSTEMS INC COMMON 2128 123962 110115 13847 110115 13847 177376100 CITRIX SYSTEMS INC COMMON 508 6057 6057 6057 189754104 COACH INC COMMON 891 15231 13006 2225 13006 2225 191216100 COCA COLA CO COMMON 3370 43103 28721 14382 28721 14382 192446102 COGNIZANT TECHNOLOGY SOLUTIONS CORP COMMON 1071 17851 16051 1800 16051 1800 194162103 COLGATE PALMOLIVE CO COMMON 1761 16913 12043 4870 12043 4870 20030N200 COMCAST CORP-SPECIAL CL A COMMON 1192 37957 32182 5775 32182 5775 20825C104 CONOCOPHILLIPS COMMON 2495 44654 40916 3738 40916 3738 209115104 CONSOLIDATED EDISON INC COMMON 316 5083 4471 612 4471 612 219350105 CORNING INC COMMON 863 66746 22976 43770 22976 43770 22160K105 COSTCO WHOLESALE CORP NEW COMMON 637 6700 6600 100 6600 100 229899109 CULLEN FROST BANKERS INC COMMON 486 8460 8192 268 8192 268 231021106 CUMMINS INC COMMON 602 6212 6160 52 6160 52 2357232 FORMATION METALS INC COMMON 7 19458 19458 19458 235851102 DANAHER CORP COMMON 4256 81712 68618 13094 68618 13094 244199105 DEERE & CO COMMON 490 6060 5860 200 5860 200 249030107 DENTSPLY INTERNATIONAL INC COMMON 1384 36612 31137 5475 31137 5475 25179M103 DEVON ENERGY CORPORATION NEW COMMON 930 16033 12568 3465 12568 3465 25243Q205 DIAGEO PLC SPONS ADR COMMON 358 3473 1073 2400 1073 2400 253651103 DIEBOLD INC COMMON 374 10144 8969 1175 8969 1175 254687106 DISNEY WALT CO NEW COMMON 4940 102256 87686 14570 87686 14570 25490A101 DIRECTV-CL A COMMON 565 11576 11576 11576 25746U109 DOMINION RESOURCES INC COMMON 581 10756 8581 2175 8581 2175 257867101 DONNELLEY R R & SONS CO COMMON 224 19000 19000 19000 260543103 DOW CHEMICAL COMPANY COMMON 904 28690 19890 8800 19890 8800 26138E109 DR PEPPER SNAPPLE GROUP INC COMMON 218 4988 4988 4988 263534109 DU PONT E I DE NEMOURS & CO COMMON 2098 41483 15446 26037 15446 26037 26441C105 DUKE ENERGY CORP COMMON 409 17730 14206 3524 14206 3524 268648102 EMC CORP MASS COMMON 2916 113771 99204 14567 99204 14567 278865100 ECOLAB INC COMMON 6834 99727 85322 14405 85322 14405 279285100 EDAC TECHNOLOGIES CORP COMMON 372 33000 33000 33000 291011104 EMERSON ELEC CO COMMON 2764 59333 50821 8512 50821 8512 29273R109 ENERGY TRANSFER PARTNERS LP COMMON 232 5250 4683 567 4683 567 30161N101 EXELON CORP COMMON 652 17328 16412 916 16412 916 30219G108 EXPRESS SCRIPTS HLDG COMMON 1367 24479 18415 6064 18415 6064 30231G102 EXXONMOBIL CORP COMMON 33520 391721 289687 102034 289687 102034 30249U101 FMC TECHNOLOGIES INC COMMON 217 5520 5520 5520 307000109 FAMILY DOLLAR STORES INC COMMON 327 4912 4912 4912 31428X106 FEDEX CORPORATION COMMON 225 2461 1341 1120 1341 1120 315616102 F5 NETWORKS INC COMMON 237 2381 2381 2381 33582V108 FIRST NIAGARA FINANCIAL GRP COMMON 2800 365995 365995 365995 337738108 FISERV INC COMMON 693 9602 9102 500 9102 500 345370860 FORD MOTOR CO DEL 'NEW' COMMON 1875 195546 166186 29360 166186 29360 345838106 FOREST LABS INC COMMON 341 9758 9758 9758 34964C106 FORTUNE BRANDS HOME & SECURITY, INC COMMON 308 13814 9414 4400 9414 4400 35671D857 FREEPORT-MCMORAN COPPER AND GOLD INC COMMON 1026 30111 26047 4064 26047 4064 369550108 GENERAL DYNAMICS CORP COMMON 321 4860 4035 825 4035 825 369604103 GENERAL ELECTRIC CORP COMMON 11146 534831 326284 208547 326284 208547 370334104 GENERAL MLS INC COMMON 1503 38999 25459 13540 25459 13540 37733W105 GLAXO SMITHKLINE SPONS ADR COMMON 671 14731 6731 8000 6731 8000 38141G104 GOLDMAN SACHS GROUP INC COMMON 602 6280 5115 1165 5115 1165 38259P508 GOOGLE INC-CL A COMMON 1389 2395 1735 660 1735 660
418056107 HASBRO INC COMMON 774 22850 22700 150 22700 150 427866108 THE HERSHEY COMPANY COMMON 337 4676 4676 4676 428236103 HEWLETT PACKARD CO COMMON 1237 61495 39790 21705 39790 21705 437076102 HOME DEPOT INC COMMON 1919 36219 31119 5100 31119 5100 438516106 HONEYWELL INTERNATIONAL INC COMMON 2245 40198 30407 9791 30407 9791 452308109 ILLINOIS TOOL WKS INC COMMON 4145 78370 66838 11532 66838 11532 458140100 INTEL CORP COMMON 5231 196287 140954 55333 140954 55333 459200101 INTL. BUSINESS MACHINES CORP COMMON 16292 83300 48831 34469 48831 34469 459506101 INTERNATIONAL FLAVORS & FRAGRANCES COMMON 473 8623 8520 103 8520 103 46120E602 INTUITIVE SURGICAL INC COMMON 245 443 443 443 465685105 ITC HOLDINGS CORP COMMON 1537 22306 18806 3500 18806 3500 46625H100 JP MORGAN CHASE & CO COMMON 5292 148105 102428 45677 102428 45677 469814107 JACOBS ENGINEERING GROUP INC COMMON 346 9141 9141 9141 478160104 JOHNSON & JOHNSON COMMON 12720 188282 152208 36074 152208 36074 478366107 JOHNSON CONTROLS INC COMMON 996 35952 31585 4367 31585 4367 481165108 JOY GLOBAL INC COMMON 263 4634 4634 4634 487836108 KELLOGG CO COMMON 383 7767 3967 3800 3967 3800 494368103 KIMBERLY CLARK CORP COMMON 1473 17582 12862 4720 12862 4720 494550106 KINDER MORGAN ENERGY PARTNERS LP COMMON 805 10248 9448 800 9448 800 50075N104 KRAFT FOODS INC CL A COMMON 3141 81333 44250 37083 44250 37083 532457108 LILLY ELI & CO COMMON 597 13917 4717 9200 4717 9200 539830109 LOCKHEED MARTIN CORP COMMON 293 3366 1918 1448 1918 1448 548661107 LOWES COS INC COMMON 591 20771 20609 162 20609 162 552690109 MDU RES GROUP INC COMMON 401 18552 16328 2224 16328 2224 571748102 MARSH & MCLENNAN COS INC COMMON 677 20994 20856 138 20856 138 57636Q104 MASTERCARD INC CL A COMMON 366 850 850 850 579780206 MCCORMICK & CO INC COMMON 243 4000 4000 4000 580135101 MCDONALDS CORP COMMON 2504 28288 23663 4625 23663 4625 580645109 MCGRAW HILL COMPANIES INC COMMON 1170 26002 21598 4404 21598 4404 585055106 MEDTRONIC INC COMMON 1314 33916 26116 7800 26116 7800 58933Y105 MERCK & CO INC COMMON 3588 85935 32438 53497 32438 53497 59156R108 METLIFE INC COMMON 1862 60359 53067 7292 53167 7192 594918104 MICROSOFT CORP COMMON 4974 162598 113932 48666 113932 48666 595017104 MICROCHIP TECHNOLOGY INC COMMON 1034 31269 30059 1210 30059 1210 617446448 MORGAN STANLEY COMMON 419 28746 24325 4421 24325 4421 636180101 NATIONAL FUEL GAS CO COMMON 716 15238 15238 15238 651639106 NEWMONT MNG CORP COMMON 244 5020 4770 250 4770 250 65339F101 NEXTERA ENERGY INC COMMON 3523 51205 27363 23842 27363 23842 654106103 NIKE INC-CLASS B COMMON 2122 24176 18329 5847 18329 5847 655664100 NORDSTROM INC COMMON 1136 22858 20233 2625 20233 2625 655844108 NORFOLK SOUTHERN CORP COMMON 906 12618 7718 4900 7718 4900 66987V109 NOVARTIS AG SPONSORED ADR COMMON 228 4072 1142 2930 1142 2930 674599105 OCCIDENTAL PETE CORP COMMON 798 9300 8875 425 8875 425 675232102 OCEANEERING INTL INC COMMON 220 4600 4600 4600 681919106 OMNICOM GROUP COMMON 2881 59269 52852 6417 52852 6417 68389X105 ORACLE CORPORATION COMMON 816 27480 24203 3277 24203 3277 693475105 PNC FINANCIAL SERVICES GROUP COMMON 636 10403 10403 10403 693506107 PPG INDUSTRIES INC COMMON 1333 12563 7686 4877 7686 4877 69351T106 PPL CORPORATION COMMON 504 18120 16920 1200 16920 1200 712704105 PEOPLES UNITED FINANCIAL, INC COMMON 607 52286 32850 19436 32850 19436 713448108 PEPSICO INC COMMON 9986 141328 107123 34205 107123 34205 717081103 PFIZER INC COMMON 4028 175143 118864 56279 118864 56279 718172109 PHILIP MORRIS INTERNATIONAL COMMON 5746 65844 47363 18481 47363 18481 718546104 PHILLIPS 66 COMMON 280 8425 6986 1439 6986 1439 74005P104 PRAXAIR INC COMMON 2944 27073 22973 4100 22973 4100 740189105 PRECISION CASTPARTS CORP COMMON 473 2877 2877 2877
74144T108 T ROWE PRICE GROUP INC COMMON 1301 20668 16018 4650 16018 4650 741503403 PRICELINE.COM INC COMMON 624 939 939 939 742718109 PROCTER & GAMBLE CO COMMON 10359 169122 133251 35871 133251 35871 744573106 PUBLIC SVC ENTERPRISE GROUP INC COMMON 537 16514 15814 700 15814 700 74460D109 PUBLIC STORAGE INC REIT COMMON 251 1736 1736 1736 747525103 QUALCOMM INC COMMON 396 7113 6238 875 6238 875 74834L100 QUEST DIAGNOSTICS INC COMMON 216 3612 3612 3612 751212101 RALPH LAUREN CORP COMMON 352 2510 2310 200 2310 200 773903109 ROCKWELL AUTOMATION INC COMMON 232 3518 1368 2150 1368 2150 776696106 ROPER INDS INC COMMON 739 7500 7500 7500 780259206 ROYAL DUTCH SHELL SPONS ADR COMMON 1820 26998 24267 2731 24267 2731 78391C106 SBT BANCORP INC COMMON 223 10378 10378 10378 806407102 SCHEIN HENRY INC COMMON 1588 20226 17025 3201 17025 3201 806857108 SCHLUMBERGER LTD COMMON 2834 43667 32058 11609 32058 11609 816300107 SELECTIVE INS GROUP INC COMMON 420 24120 24120 24120 824348106 SHERWIN WILLIAMS CO COMMON 202 1525 1525 1525 832696405 JM SMUCKER CO COMMON 1065 14098 12193 1905 12193 1905 842587107 SOUTHERN COMPANY COMMON 1379 29780 14593 15187 14593 15187 845467109 SOUTHWESTERN ENERGY CO COMMON 302 9450 9275 175 9275 175 854502101 STANLEY BLACK & DECKER INC COMMON 358 5555 4631 924 4631 924 855030102 STAPLES INC COMMON 541 41446 31127 10319 31127 10319 857477103 STATE STREET CORP COMMON 333 7458 6908 550 6908 550 863667101 STRYKER CORP COMMON 1781 32329 31529 800 31529 800 871829107 SYSCO CORP COMMON 1175 39421 32782 6639 32782 6639 872540109 TJX COS INC COMMON 268 6250 5250 1000 5250 1000 87612E106 TARGET CORP COMMON 3785 65046 53745 11301 53745 11301 878742204 TECK RESOURCES LIMITED COMMON 374 12100 12000 100 12000 100 878742303 TECK RESOURCES LTD COMMON 374 11680 11680 11680 879382208 TELEFONICA SA SPONS ADR COMMON 614 46870 22870 24000 22870 24000 881624209 TEVA PHARMACEUTICAL INDS LTD ADR COMMON 2296 58215 50236 7979 50236 7979 883556102 THERMO FISHER SCIENTIFIC INC COMMON 2378 45802 40385 5417 40385 5417 886547108 TIFFANY & CO COMMON 202 3823 3823 3823 89353D107 TRANSCANADA CORP COMMON 280 6675 4150 2525 4150 2525 902973304 US BANCORP NEW COMMON 700 21762 20437 1325 20437 1325 907818108 UNION PAC CORP COMMON 1754 14702 8105 6597 8105 6597 911312106 UNITED PARCEL SERVICE CL B COMMON 293 3725 3575 150 3575 150 913017109 UNITED TECHNOLOGIES CORP COMMON 7713 102123 79017 23106 79017 23106 91324P102 UNITEDHEALTH GROUP INC COMMON 1361 23262 23089 173 23089 173 915271100 UNIVEST CORPORATION OF PENNSYLVANIA COMMON 901 54497 49301 5196 49301 5196 92343V104 VERIZON COMMUNICATIONS COMMON 3931 88462 73610 14852 73610 14852 92857W209 VODAFONE GROUP SPONS ADR COMMON 644 22863 20610 2253 20610 2253 931142103 WAL MART STORES INC COMMON 2193 31457 16618 14839 16618 14839 931422109 WALGREEN CO COMMON 952 32192 27400 4792 27400 4792 941848103 WATERS CORP COMMON 243 3057 3057 3057 94973V107 WELLPOINT INC COMMON 407 6382 3382 3000 3382 3000 949746101 WELLS FARGO & CO COMMON 3829 114518 97859 16659 97859 16659 969457100 WILLIAMS COS INC COMMON 342 11855 10705 1150 10705 1150 988498101 YUM! BRANDS INC COMMON 222 3442 842 2600 842 2600 98956P102 ZIMMER HLDGS INC COMMON 313 4869 2904 1965 2904 1965 B1FRPX0 MAPLE ENERGY PLC COMMON 15 14000 14000 14000 G1151C101 ACCENTURE PLC CL A COMMON 951 15824 13349 2475 13349 2475 G16962105 BUNGE LIMITED COMMON 222 3524 1524 2000 1524 2000 G24140108 COOPER INDUSTRIES PLC COMMON 340 4983 4983 4983 G47791101 INGERSOLL-RAND PLC COMMON 260 6172 4672 1500 4672 1500 G7945E105 SEADRILL LIMITED COMMON 1226 34517 14842 19675 14842 19675 H27013103 WEATHERFORD INTNTL LTD COMMON 1222 96783 86249 10534 86249 10534 V7780T103 ROYAL CARIBBEAN CRUISES LTD COMMON 382 14661 11976 2685 11976 2685