0000909654-14-000097.txt : 20140327 0000909654-14-000097.hdr.sgml : 20140327 20140327143227 ACCESSION NUMBER: 0000909654-14-000097 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140324 ITEM INFORMATION: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20140327 DATE AS OF CHANGE: 20140327 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SI Financial Group, Inc. CENTRAL INDEX KEY: 0001500213 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 800643149 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-54241 FILM NUMBER: 14721226 BUSINESS ADDRESS: STREET 1: 803 MAIN STREET CITY: WILLIMANTIC STATE: CT ZIP: 06226 BUSINESS PHONE: 860-423-4581 MAIL ADDRESS: STREET 1: 803 MAIN STREET CITY: WILLIMANTIC STATE: CT ZIP: 06226 8-K 1 savings8kmarch29-14.htm CURRENT REPORT savings8kmarch29-14.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):  March 24, 2014


SI FINANCIAL GROUP, INC.
(Exact name of registrant as specified in its charter)

Maryland
0-54241
80-0643149
(State or other jurisdiction of incorporation
or organization)
(Commission
File Number)
(IRS Employer
Identification No.)
 
803 Main Street, Willimantic, Connecticut 06226
(Address of principal executive offices) (Zip Code)

(860) 423-4581
(Registrant’s telephone number, including area code)

Not Applicable
(Former name or former address, if changed since last report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[  ]     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[  ]     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[  ]     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[  ]     Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 
 
 

 
Item 5.04
Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.

This Current Report on Form 8-K is being filed to comply with the requirement of the Securities and Exchange Commission (the “SEC”) that notice of a covered blackout period under the Newport Federal Savings Bank Employees’ Savings & Profit Sharing Plan and Trust be given to directors and executive officers of SI Financial Group, Inc. (the “Company”) and also be furnished to the SEC under cover of Form 8-K.  The notice sent to those persons is filed as Exhibit 99.1 to this Form 8-K and is incorporated by reference into this Item.   The Company received the notice required by Section 101(i)(2)(E) of the Employment Retirement Income Security Act of 1974 on March 24, 2014.

Item 9.01
Financial Statements and Exhibits.

(d)                      Exhibits

 
Number
Description

 
99.1
Notice Sent to Directors and Executive Officers of SI Financial Group, Inc.

 
 
 

 

 
SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 
SI FINANCIAL GROUP, INC.
 
       
Date:  March 27, 2014
By:
/s/ Brian J. Hull  
    Brian J. Hull  
   
Executive Vice President, Chief Operating Officer,
 Chief Financial Officer and Treasurer
 
       

EX-99.1 2 savings8kmarch29ex99.htm savings8kmarch29ex99.htm
IMPORTANT NOTICE
CONCERNING THE NEWPORT FEDERAL SAVINGS BANK 401(k) PLAN
AND YOUR ABILITY TO TRADE SHARES
OF SI FINANCIAL GROUP, INC.’S SECURITIES

 
March 24, 2014
 
This notice is being sent to all executive officers and directors of SI Financial Group, Inc. in accordance with Section 306(a) of the Sarbanes-Oxley Act of 2002 and Rule 104 of Securities and Exchange Regulation BTR.
 
In connection with the swap of the SSgA S&P 500 Growth & Value Fund to the Russell 1000 Growth and Value Funds, the participants of the Newport Federal Savings Bank Employees’ Savings & Profit Sharing Plan and Trust will temporarily be unable to direct or diversify the assets held in their plan accounts, including shares of SI Financial Group, Inc. common stock.  This period, during which participants will be unable to exercise these rights otherwise available under the plan, is called a “blackout period.”
 
During this blackout period, you may not directly or indirectly purchase, sell, or otherwise acquire or transfer any equity security of SI Financial Group, Inc. acquired in connection with your service or employment as a director or executive officer of SI Financial Group, Inc.  Although you are permitted to engage in transactions involving equity securities that were not acquired in connection with your services as a director or executive officer, there is a presumption that any such transactions are prohibited unless you can identify the source of the shares and show that you used the same identification for all related purposes, such as tax reporting and disclosure requirements.
 
The blackout period will begin on April 28, 2014 and end during the week ending May 5, 2014.
 
In addition to this Sarbanes-Oxley blackout, please remember that SI Financial Group, Inc. observes regularly scheduled blackout periods that restrict your ability to trade in SI Financial Group, Inc. stock. 
 
If you have any questions concerning this notice please contact:
 
Laurie Gervais
SI Financial Group, Inc.
803 Main Street
Willimantic, Connecticut 06226
(860) 456-6569