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4//SEC Filing

Roman John C 4

Accession 0001225208-11-016905

CIK 0001493552other

View on SEC.gov Company Profile

Filed

Jun 29, 8:00 PM ET

Accepted

Jun 30, 3:50 PM ET

Size

18.0 KB

Accession

0001225208-11-016905

Insider Transaction Report

Form 4

Period: 2011-06-29

Naugatuck Valley Financial CorpNVSL

DirectorPresident & CEO

Transactions

Other
Common Stock
2011-06-29+997→ 997 total(indirect: By IRA)
Discretionary Transaction
Common Stock
2011-06-29$8.00/sh+3,814$30,512→ 10,360 total(indirect: By 401(k))
Purchase
Common Stock
2011-06-29$8.00/sh+1,125$9,000→ 24,401 total
Other
Common Stock
2011-06-29+23,276→ 23,276 total
Other
Common Stock
2011-06-29+6,546→ 6,546 total(indirect: By 401(k))
Other
Common Stock
2011-06-29+6,116→ 6,116 total(indirect: By ESOP)
Other
Stock Option (right to buy)
2011-06-29+36,918→ 36,918 total
Exercise: $11.12From: 2006-07-26Exp: 2015-07-26→ Common Stock (36,918 underlying)

Footnotes (3)

[F1]Pursuant to the Amended and Restated Plan of Conversion and Reorganization of Naugatuck Valley Mutual Holding Company, each share of common stock of Naugatuck Valley Financial Corporation (Federal corporation) was exchanged for 0.9978 share of common stock of Naugatuck Valley Financial Corporation (Maryland corporation).
[F2]Pursuant to the Amended and Restated Plan of Conversion and Reorganization of Naugatuck Valley Mutual Holding Company, each option to purchase shares of common stock of Naugatuck Valley Financial Corporation (Federal corporation) was converted into an option to purchase shares of common stock of Naugatuck Valley Financial Corporation (Maryland corporation) by multiplying the number of shares subject to each option by the 0.9978 exchange ratio, rounded down to the nearest share. The exercise price per share of each converted option was determined by dividing the exercise price of the option by the 0.9978 exchange ratio. All such converted options continue to vest based on their original terms.
[F3]Stock Options granted pursuant to the Naugatuck Valley Financial Corporation 2005 Equity Incentive Plan are fully vested and exercisable.

Documents

2 files

Issuer

Naugatuck Valley Financial Corp

CIK 0001493552

Entity typeother

Related Parties

1

filerCIK 0001296140

Filing Metadata

Form type: 4
Filed: Jun 29, 8:00 PM ET
Accepted: Jun 30, 3:50 PM ET
Size: 18.0 KB

View on SEC.gov