SEC Form 4 · accession 0001225208-15-002576
Naugatuck Valley Financial Corp · NVSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Hastings
Officer — EVP & CFO
Period of report
Jan 30, 2015
Accepted (ET)
Feb 2, 2015 · 3:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001493552
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 3,640 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $8.60 | Jan 30, 2015 | A | 25,000 | A | Jan 30, 2016 | Jan 30, 2025 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (right to buy)F2 | $7.74 | holding | — | — | — | May 27, 2015 | May 27, 2024 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Stock Options granted pursuant to the Naugatuck Valley Financial Corporation 2005 Equity Incentive Plan will vest in five equal annual installments commencing on January 30, 2016.
- F2Stock Options granted pursuant to the Naugatuck Valley Financial Corporation 2005 Equity Incentive Plan will vest in five equal annual installments commencing on May 27, 2015.