SEC Form 4 · accession 0001140361-17-034286
SI Financial Group, Inc. · SIFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rheo A Brouillard
Officer — President and CEO · Director
Period of report
Aug 31, 2017
Accepted (ET)
Sep 5, 2017 · 3:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001500213
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 31, 2017 | S | 707 | $14.50 | D | 66,126 | D | |
| Common Stock | Aug 31, 2017 | S | 3,043 | $14.60 | D | 63,083 | D | |
| Common Stock | Aug 31, 2017 | S | 183 | $14.65 | D | 62,900 | D | |
| Common Stock | Sep 1, 2017 | S | 656 | $14.50 | D | 62,244 | D | |
| Common Stock | Sep 1, 2017 | S | 769 | $14.55 | D | 61,475 | D | |
| Common Stock | Sep 1, 2017 | S | 600 | $14.60 | D | 60,875 | D | |
| Common Stock | Sep 1, 2017 | S | 100 | $14.6375 | D | 60,775 | D | |
| Common Stock | Sep 1, 2017 | S | 575 | $14.65 | D | 60,200 | D | |
| Common Stock | Sep 1, 2017 | S | 100 | $14.675 | D | 60,100 | D | |
| Common Stock | Sep 1, 2017 | S | 200 | $14.70 | D | 59,900 | D | |
| Common Stock | holding | — | — | — | 19,138 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 11,861 | I | By ESOP | |
| Common Stock | holding | — | — | — | 4,699 | I | By IRA | |
| Common Stock | holding | — | — | — | 898 | I | By Spouse | |
| Common Stock | holding | — | — | — | 2,659 | I | By Spouse's IRA | |
| Common StockF1 | holding | — | — | — | 3,333 | I | By Stock Award II |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $5.68 | holding | — | — | — | Feb 24, 2011 | Feb 24, 2020 | Common Stock | 5,663 | 5,663 | D |
| Stock OptionsF2 | $9.40 | holding | — | — | — | Feb 16, 2012 | Feb 16, 2021 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionsF3 | $11.01 | holding | — | — | — | Oct 24, 2013 | Oct 24, 2022 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Stock Awards granted pursuant to the SI Financial Group, Inc. 2012 Equity Incentive Plan vest in three equal annual installments commencing on September 23, 2015.
- F2Stock Options are fully vested and exercisable.
- F3Stock Options granted pursuant to the SI Financial Group, Inc. 2012 Equity Incentive Plan vest in five equal annual installments commencing on October 24, 2013.