SEC Form 4 · accession 0001140361-17-036637
SI Financial Group, Inc. · SIFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan S Wood
Officer — EVP-Retail Banking
Period of report
Sep 23, 2017
Accepted (ET)
Sep 27, 2017 · 4:39 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 | 931 | $15.05 | D | 8,307 | D | |
| Common Stock | holding | — | — | — | 4,333 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 3,125 | 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 | $11.01 | holding | — | — | — | Oct 24, 2013 | Oct 24, 2020 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Since the reporting person's last report, 2,666 shares previously held by Stock Award II have vested and are now owned directly.
- F2Stock Options granted pursuant to the SI Financial Group, Inc. 2012 Equity Incentive Plan vest in five equal annual installments commencing on October 24, 2013.