SEC Form 4 · accession 0001567619-19-000022
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
Dec 28, 2018
Accepted (ET)
Jan 2, 2019 · 2:16 pm EST
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 | Dec 28, 2018 | M | 5,663 | $5.68 | A | 39,309 | D | |
| Common Stock | Dec 28, 2018 | F | 3,453 | $12.79 | D | 35,856 | D | |
| Common Stock | Dec 28, 2018 | M | 10,000 | $9.40 | A | 45,856 | D | |
| Common Stock | Dec 28, 2018 | F | 8,140 | $12.79 | D | 37,716 | D | |
| Common Stock | Dec 28, 2018 | M | 50,000 | $11.01 | A | 87,716 | D | |
| Common Stock | Dec 28, 2018 | F | 45,118 | $12.79 | D | 42,598 | D | |
| Common StockF1 | holding | — | — | — | 19,618 | I | By 401(k) | |
| Common StockF1 | 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 OptionsF2 | $5.68 | Dec 28, 2018 | M | 5,663 | D | Feb 24, 2011 | Feb 24, 2020 | Common Stock | 5,663 | 0 | D |
| Stock OptionsF2 | $9.40 | Dec 28, 2018 | M | 10,000 | D | Feb 16, 2012 | Feb 16, 2021 | Common Stock | 10,000 | 0 | D |
| Stock OptionsF2 | $11.01 | Dec 28, 2018 | M | 50,000 | D | Oct 24, 2013 | Oct 24, 2022 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1Reflects transactions not required to be reported pursuant to Section 16 of the Securities Act of 1934, as amended.
- F2Stock Options are fully vested and exercisable.