SEC Form 4 · accession 0001567619-19-000058
SI Financial Group, Inc. · SIFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul R Little
Officer — SVP and CCO
Period of report
Dec 28, 2018
Accepted (ET)
Jan 2, 2019 · 3:58 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 | 1,000 | $11.20 | A | 8,416 | D | |
| Common Stock | Dec 28, 2018 | F | 912 | $12.79 | D | 7,504 | D | |
| Common Stock | Dec 28, 2018 | M | 20,000 | $11.01 | A | 27,504 | D | |
| Common Stock | Dec 28, 2018 | F | 18,046 | $12.79 | D | 9,458 | D | |
| Common Stock | Dec 28, 2018 | M | 6,000 | $11.86 | A | 15,458 | D | |
| Common Stock | Dec 28, 2018 | F | 5,693 | $12.79 | D | 9,765 | D | |
| Common StockF1 | holding | — | — | — | 4,787 | 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 | $11.20 | Dec 28, 2018 | M | 1,000 | D | Mar 21, 2013 | Mar 21, 2022 | Common Stock | 1,000 | 0 | D |
| Stock OptionsF2 | $11.01 | Dec 28, 2018 | M | 20,000 | D | Oct 24, 2013 | Oct 24, 2022 | Common Stock | 20,000 | 0 | D |
| Stock OptionsF3 | $11.86 | Dec 28, 2018 | M | 6,000 | D | Sep 23, 2016 | Sep 23, 2025 | Common Stock | 6,000 | 4,000 | 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.
- F3Stock Options granted pursuant to the SI Financial Group, Inc. 2012 Equity Incentive Plan vest in five equal annual installments commencing on September 23, 2016.