-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GE74dTTdQwH0zurLs6Iid9v1l73NwIjouRMZISyXZI29WpgxdWCjMbHIqnQnOWwI ok3VtDYzbbrJutSNwpAE+Q== 0000901309-02-000178.txt : 20020722 0000901309-02-000178.hdr.sgml : 20020722 20020722112257 ACCESSION NUMBER: 0000901309-02-000178 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020722 GROUP MEMBERS: DAVID G. HUMPHREY PER. REP. ESTATE/DONALD G. HUMPHREY GROUP MEMBERS: ESTATE OF DONALD G. HUMPRHREY GROUP MEMBERS: GAIL C. HUMPHREY PER. REP. ESTATE/DONALD G. HUMPHREY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL INSTITUTIONS INC CENTRAL INDEX KEY: 0000862831 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 160816610 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-58385 FILM NUMBER: 02707340 BUSINESS ADDRESS: STREET 1: 220 LIBERTY STREET CITY: WARSAW STATE: NY ZIP: 14569 BUSINESS PHONE: 7167861100 MAIL ADDRESS: STREET 1: 220 LIBERTY STREET CITY: WARSAW STATE: NY ZIP: 14569 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ESTATE OF DONALD G HUMPHREY CENTRAL INDEX KEY: 0001176186 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 215 LOUELLA LANE CITY: NOKOMIS STATE: FL ZIP: 34275 SC 13G 1 sch13g_humphrey.htm SCHEDULE 13G ESTATE OF DONALD G. HUMPHREY

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13G

INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934

FINANCIAL INSTITUTIONS, INC.
(NAME OF ISSUER)

COMMON STOCK $.01 PAR VALUE
(TITLE OF CLASS OF SECURITIES)

317585 40 4
(CUSIP NUMBER)

MARCH 1, 2001

(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[  ]        Rule 13d-1 (b)
[x]        Rule 13d-1 (c)
[  ]        Rule 13d-1 (d)

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CUSIP NO. 317585 40 4 13G Page 2 of 8 pages


1. NAME OF REPORTING PERSON, I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES
ONLY):
Estate of Donald G. Humphrey

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [X]
(b) [   ]

3. SEC USE ONLY

4. CITIZENSHIP OR PLACE OF ORGANIZATION:
Other

  NUMBER OF SHARES 5. SOLE VOTING POWER:               596,489
  BENEFICIALLY OWNED 6. SHARED VOTING POWER:
  BY EACH REPORTING PERSON 7. SOLE DISPOSITIVE POWER:       596,489
  WITH 8. SHARED DISPOSITIVE POWER:

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:    596,489

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[    ]

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
5.4%

12. TYPE OF REPORTING PERSON:
00

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CUSIP NO. 317585 40 4 13G Page 3 of 8 pages


1. NAME OF REPORTING PERSON, I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY):
Gail C. Humphrey as Personal Representative of the Estate of Donald G. Humphrey

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [X]
(b) [   ]

3. SEC USE ONLY

4. CITIZENSHIP OR PLACE OF ORGANIZATION:
United States

  NUMBER OF SHARES 5. SOLE VOTING POWER:
  BENEFICIALLY OWNED 6. SHARED VOTING POWER:           596,489
  BY EACH REPORTING PERSON 7. SOLE DISPOSITIVE POWER:
  WITH 8. SHARED DISPOSITIVE POWER:   596,489

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:  596,489

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[    ]

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
5.4%

12. TYPE OF REPORTING PERSON:
IN

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CUSIP NO. 317585 40 4 13G Page 4 of 8 pages


1. NAME OF REPORTING PERSON, I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY):
David G. Humphrey as Personal Representative of the Estate of Donald G. Humphrey

2. APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [X]
    (b) [   ]

3. SEC USE ONLY

4. CITIZENSHIP OR PLACE OF ORGANIZATION:
United States

  NUMBER OF SHARES 5. SOLE VOTING POWER:
  BENEFICIALLY OWNED 6. SHARED VOTING POWER:           596,489
  BY EACH REPORTING PERSON 7. SOLE DISPOSITIVE POWER:
  WITH 8. SHARED DISPOSITIVE POWER:   596,489

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:  596,489

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[    ]

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
5.4%

12. TYPE OF REPORTING PERSON:
IN

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CUSIP NO. 317585 40 4 13G Page 5 of 8 pages

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

Financial Institutions, Inc.
(Name of Company)

ITEM 1(a) NAME OF ISSUER:
Financial Institutions, Inc

ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
220 Liberty Street, Warsaw, New York 14569
ITEM 2(a) NAME OF PERSON FILING:
Estate of Donald G. Humphrey,
Gail C. Humphrey as Personal Representative of the Estate of Donald G. Humphrey and
David G. Humphrey as Personal Representative of the Estate of Donald G. Humphrey.
ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
  Estate of Donald G. Humphrey David G. Humphrey Gail C. Humphrey
  215 Louella Lane 235 Summertree Drive 215 Louella Lane
  Nokomis, FL 34275 Troutman, NC 28166 Nokomis, FL 34275


ITEM 2(c) CITIZENSHIP
  Gail C. Humphrey and David G. Humphrey are U.S. citizens.
  The Estate is being administered through the State of Florida, Sarasota County Circuit Court.
ITEM 2(d) TITLE OF CLASS OF SECURITIES:
  Common Stock $.01 par value
ITEM 2(e) CUSIP NUMBER:
  317585 40 4
ITEM (3) IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1 (b), OR 13d-2 (b) OR (c),
CHECK WHETHER THE PERSON FILING IS A:
  (a) [   ] Broker or dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act")
  (b) [   ] Bank as defined in Section 3 (a) (6) of the Act
  (c) [   ] Insurance company as defined in Section 3 (a) (19) of the Exchange Act
  (d) [   ] Investment company registered under Section 8 of the Investment Company Act.
  (e) [   ] An investment adviser in accordance with Rule 13d-1 (b) (1) (ii) (E);
  (f) [   ] An employee benefit plan or endowment fund in accordance with Rule13d-1 (b) (1)
(ii) (F);
  (g) [   ] A parent holding company or control person in accordance with Rule 13d-1 (b) (1)
(ii) (G);
  (h) [   ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance
Act;
  (i) [   ] A church plan that is excluded from the definition of an investment company under
Section 3(c)(14) of the Investment Company Act;
  (j) [   ] Group, in accordance with Rule 13d-1 (b) (1) (ii) (J).

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CUSIP NO. 317585 40 4 13G Page 6 of 8 pages
ITEM 4. OWNERSHIP
  (a) AMOUNT BENEFICIALLY OWNED:
596,489 Common Stock $.01 par value

(b) PERCENT OF CLASS
5.4%
  (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
  (i) SOLE POWER TO VOTE OR DIRECT THE VOTE:
The Estate of Donald G. Humphrey has sole power over
596,489 Common Stock $.01 par value
(ii) SHARED POWER TO VOTE OR DIRECT THE VOTE:
Gail C. Humphrey and David G. Humphrey as
Personal Representatives of the Estate of Donald G. Humphrey
share power over 596,489 Common Stock $.01 par value
(iii) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION OF:
The Estate of Donald G. Humphrey has sole power over
596,489 Common Stock $.01 par value
(iv) SHARED POWER TO DISPOSE OR DIRECT THE DIPOSITION OF:
Gail C. Humphrey and David G. Humphrey as
Personal Representatives of the Estate of Donald G. Humphrey
share power over 596,489 Common Stock $.01 par value


ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
ITEM 6. OWNERSHIP OF FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not applicable.
ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
The subject shares are owned by the Estate of Donald G. Humphrey. The Estate is administered
by two Co-Personal Representatives, Gail C. Humphrey and David G. Humphrey, each of whom
shares the authority, as Personal Representatives of the Estate to vote and dispose of the shares
held by the Estate. Also see Exhibit 99.1.

ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION
By signing below I certify that, to the best of my knowledge and belief, the securities referred to
above were acquired in the ordinary course of business and were not acquired for the purpose of
and do not have the effect of changing or influencing the control of the issuer of such securities
and were not acquired in connection with or as a participant in any transaction having such
purpose or effect.
Exhibits  
99.1 Joint Filing Agreement

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SIGNATURES  
  After reasonable inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.

    Estate of Donald G. Humphrey
Dated: June 30, 2002    
    By:/s/David G. Humphrey
David G. Humphrey
Co-Personal Representative
    Estate of Donald G. Humphrey
Dated: June 21, 2002    
    By:/s/Gail C. Humphrey
Gail C. Humphrey
Co-Personal Representative
    /s/Gail C. Humphrey
Dated: June 21, 2002   Gail C. Humphrey as Personal Representative
of the Estate of Donald G. Humphrey
    /s/David G. Humphrey
Dated: June 30, 2002   David G. Humphrey as Personal Representative
of the Estate of Donald G. Humphrey
EX-99 3 sch13ghumphreyex99_1.htm EXHIBIT 99.1 JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement
Exhibit 99.1

JOINT FILING AGREEMENT

        In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of this Schedule 13G, including amendments thereto, with respect to the shares of common stock of Financial Institutions and further agrees that this Joint Filing Agreement be filed with the Securities and Exchange Commission as an exhibit to such filing; provided, however, that no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing unless such person knows or has reason to believe such information is inaccurate (as provided in Rule 13d-1(k)(1)(ii)). This Joint Filing Agreement may be executed in one or more counterparts, all of which together shall constitute one and the same instrument.

        IN WITNESS WHEREOF, the persons named below have executed this Joint Filing Agreement as of the dates set forth below.

Signature

        After reasonable inquiry and to the best of my knowledge and belief I certify that the information set forth in this statement is true, complete and correct.

    Estate of Donald G. Humphrey
Dated: June 30, 2002    
    By:/s/David G. Humphrey
David G. Humphrey
Co-Personal Representative
    Estate of Donald G. Humphrey
Dated: June 21, 2002    
    By:/s/Gail C. Humphrey
Gail C. Humphrey
Co-Personal Representative
    /s/Gail C. Humphrey
Dated: June 21, 2002   Gail C. Humphrey as Personal Representative
of the Estate of Donald G. Humphrey
    s/sDavid G. Humphrey
Dated: June 30, 2002   David G. Humphrey as Personal Representative
of the Estate of Donald G. Humphrey
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