SEC Form 4 · accession 0001225208-16-024272
Naugatuck Valley Financial Corp · NVSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos S Batista
Director
Period of report
Jan 15, 2016
Accepted (ET)
Jan 15, 2016 · 6:23 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 StockF1 | Jan 15, 2016 | D | 27,536 | $0.00 | D | 0 | D | |
| Common StockF2 | Jan 15, 2016 | D | 8,743 | $0.00 | D | 0 | I | By IRA |
| Common StockF3 | Jan 15, 2016 | D | 99 | $0.00 | D | 0 | I | By Spouse UGMA cust. for granddaughter 2 |
| Common StockF3 | Jan 15, 2016 | D | 99 | $0.00 | D | 0 | I | By Spouse UTMA cust. for granddaughter 1 |
| Common StockF3 | Jan 15, 2016 | D | 99 | $0.00 | D | 0 | I | By Spouse UTMA cust. for granddaughter 3 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Disposed of pursuant to the merger agreement between the issuer and Liberty Bank for $302,896 having a market value of $11.00 per share on the effective date of the merger.
- F2Disposed of pursuant to the merger agreement between the issuer and Liberty Bank for $96,173 having a market value of $11.00 per share on the effective date of the merger.
- F3Disposed of pursuant to the merger agreement between the issuer and Liberty Bank for $1,089 having a market value of $11.00 per share on the effective date of the merger.
Remarks
Exhibit List: Exhibit 24 Power of Attorney