SEC Form 4 · accession 0001140361-18-013188
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
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 1:52 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 | Mar 9, 2018 | S | 100 | $14.60 | D | 43,668 | D | |
| Common Stock | Mar 9, 2018 | S | 500 | $14.50 | D | 43,168 | D | |
| Common Stock | Mar 9, 2018 | S | 700 | $14.475 | D | 42,468 | D | |
| Common Stock | Mar 9, 2018 | S | 700 | $14.45 | D | 41,768 | D | |
| Common Stock | Mar 12, 2018 | S | 100 | $14.65 | D | 41,668 | D | |
| Common Stock | Mar 12, 2018 | S | 500 | $14.60 | D | 41,168 | D | |
| Common Stock | Mar 12, 2018 | S | 1,000 | $14.55 | D | 40,168 | 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 OptionsF1 | $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.