SEC Form 4 · accession 0001140361-17-036632
SI Financial Group, Inc. · SIFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurie L Gervais
Officer — EVP and CAO
Period of report
Sep 23, 2017
Accepted (ET)
Sep 27, 2017 · 4:37 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 StockF1 | Sep 23, 2017 | F | 1,194 | $15.05 | D | 28,008 | D | |
| Common Stock | holding | — | — | — | 20,676 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 449 | I | By Custodian for Child 1 | |
| Common Stock | holding | — | — | — | 449 | I | By Custodian for Child 2 | |
| Common Stock | holding | — | — | — | 7,784 | I | By ESOP | |
| Common StockF1 | holding | — | — | — | 0 | 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 | 4,490 | 4,490 | D |
| Stock OptionsF2 | $9.40 | holding | — | — | — | Feb 16, 2012 | Feb 16, 2021 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionsF3 | $11.01 | holding | — | — | — | Oct 24, 2013 | Oct 24, 2022 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1Since the reporting person's last report, 3,333 shares previously held by Stock Award II have vested and are now owned directly.
- 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.