0001225208-16-024279.txt : 20160115
0001225208-16-024279.hdr.sgml : 20160115
20160115182354
ACCESSION NUMBER: 0001225208-16-024279
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160115
FILED AS OF DATE: 20160115
DATE AS OF CHANGE: 20160115
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Naugatuck Valley Financial Corp
CENTRAL INDEX KEY: 0001493552
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035]
IRS NUMBER: 010969655
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 333 CHURCH STREET
CITY: NAUGATUCK
STATE: CT
ZIP: 06770
BUSINESS PHONE: 203 720 50000
MAIL ADDRESS:
STREET 1: 333 CHURCH STREET
CITY: NAUGATUCK
STATE: CT
ZIP: 06770
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hastings James
CENTRAL INDEX KEY: 0001425773
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54447
FILM NUMBER: 161346618
MAIL ADDRESS:
STREET 1: 333 CHURCH STREET
CITY: NAUGATUCK
STATE: CT
ZIP: 06770
4
1
doc4.xml
X0306
4
2016-01-15
1
0001493552
Naugatuck Valley Financial Corp
NVSL
0001425773
Hastings James
333 CHURCH STREET
NAUGATUCK
CT
06770
1
EVP & CFO
Common Stock
2016-01-15
4
D
0
3640.0000
0
D
0.0000
D
Common Stock
2016-01-15
4
D
0
993.0000
0
D
0.0000
I
By KSOP
Stock Option (right to buy)
8.6000
2016-01-15
4
D
0
25000.0000
D
2016-01-30
2025-01-30
Common Stock
25000.0000
0.0000
D
Stock Option (right to buy)
7.7400
2016-01-15
4
D
0
10000.0000
D
2015-05-27
2024-05-27
Common Stock
10000.0000
0.0000
D
Disposed of pursuant to the merger agreement between the issuer and Liberty Bank for $40,040 having a market value of $11.00 per share on the effective date of the merger.
Disposed of pursuant to the merger agreement between the issuer and Liberty Bank for $10,923 having a market value of $11.00 per share on the effective date of the merger.
This option, which provided for vesting in five equal annual installments beginning January 30, 2016, was canceled in the merger in exchange for a cash payment of $60,000, representing the positive difference between the merger consideration and the option strike price on the effective date of the merger.
This option, which provided for vesting in five equal annual installments beginning May 27, 2015, was canceled in the merger in exchange for a cash payment of $32,600, representing the positive difference between the merger consideration and the option strike price on the effective date of the merger.
/s/ Aaron M. Kaslow, Power of Attorney
2016-01-15