0001225208-16-024273.txt : 20160115 0001225208-16-024273.hdr.sgml : 20160115 20160115182344 ACCESSION NUMBER: 0001225208-16-024273 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: Calderara William C. CENTRAL INDEX KEY: 0001559465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54447 FILM NUMBER: 161346612 MAIL ADDRESS: STREET 1: NAUGATUCK VALLEY FINANCIAL CORP STREET 2: 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 0001559465 Calderara William C. 333 CHURCH STREET NAUGATUCK CT 06770 1 1 President & CEO Common Stock 2016-01-15 4 D 0 9883.9000 0 D 0.0000 I By KSOP Common Stock 2016-01-15 4 D 0 4114.0000 0 D 0.0000 I By Stock Award Stock Option (right to buy) 8.6000 2016-01-15 4 D 0 19066.0000 D 2016-01-30 2025-01-30 Common Stock 19066.0000 0.0000 D Stock Option (right to buy) 7.7400 2016-01-15 4 D 0 80000.0000 D 2015-05-27 2024-05-27 Common Stock 80000.0000 0.0000 D Disposed of pursuant to the merger agreement between the issuer and Liberty Bank for $108,722.90 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 $45,254 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 $45,758, 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 $260,800, 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