SEC Form 4 · accession 0001567619-19-000024
SI Financial Group, Inc. · SIFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurie L Gervais
Officer — EVP and COO
Period of report
Dec 28, 2018
Accepted (ET)
Jan 2, 2019 · 2:18 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 | 4,490 | $5.68 | A | 32,498 | D | |
| Common Stock | Dec 28, 2018 | F | 2,738 | $12.79 | D | 29,760 | D | |
| Common Stock | Dec 28, 2018 | M | 5,000 | $9.40 | A | 34,760 | D | |
| Common Stock | Dec 28, 2018 | F | 4,069 | $12.79 | D | 30,691 | D | |
| Common Stock | Dec 28, 2018 | M | 30,000 | $11.01 | A | 60,691 | D | |
| Common Stock | Dec 28, 2018 | F | 27,070 | $12.79 | D | 33,621 | D | |
| Common StockF1 | holding | — | — | — | 22,194 | 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 StockF1 | holding | — | — | — | 7,863 | I | By ESOP |
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 | 4,490 | D | Feb 24, 2011 | Feb 24, 2020 | Common Stock | 4,490 | 0 | D |
| Stock OptionsF2 | $9.40 | Dec 28, 2018 | M | 5,000 | D | Feb 16, 2012 | Feb 16, 2021 | Common Stock | 5,000 | 0 | D |
| Stock OptionsF2 | $11.01 | Dec 28, 2018 | M | 30,000 | D | Oct 24, 2013 | Oct 24, 2022 | Common Stock | 30,000 | 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.