SEC Form 4 · accession 0001140361-17-038028
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
Oct 9, 2017
Accepted (ET)
Oct 10, 2017 · 3:51 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 | Oct 9, 2017 | S | 104 | $15.45 | D | 61,664 | D | |
| Common Stock | Oct 9, 2017 | S | 100 | $15.425 | D | 61,564 | D | |
| Common Stock | Oct 9, 2017 | S | 100 | $15.4125 | D | 61,464 | D | |
| Common Stock | Oct 9, 2017 | S | 1,300 | $15.40 | D | 60,164 | D | |
| Common Stock | Oct 10, 2017 | S | 67 | $15.40 | D | 60,097 | D | |
| Common Stock | Oct 10, 2017 | S | 64 | $15.30 | D | 60,033 | D | |
| Common Stock | Oct 10, 2017 | S | 740 | $15.25 | D | 59,293 | D | |
| Common Stock | Oct 10, 2017 | S | 100 | $15.225 | D | 59,193 | D | |
| Common Stock | Oct 10, 2017 | S | 1,025 | $15.20 | D | 58,168 | 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 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $5.68 | holding | — | — | — | Feb 24, 2011 | Feb 24, 2020 | Common Stock | 5,663 | 5,663 | D |
| Stock OptionsF1 | $9.40 | holding | — | — | — | Feb 16, 2012 | Feb 16, 2021 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionsF2 | $11.01 | holding | — | — | — | Oct 24, 2013 | Oct 24, 2022 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Stock Options are fully vested and exercisable.
- 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.