Filing Details
- Accession Number:
- 0001225208-10-025371
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-22 15:50:53
- Reporting Period:
- 2010-11-18
- Filing Date:
- 2010-11-22
- Accepted Time:
- 2010-11-22 15:50:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1293413 | Naugatuck Valley Financial Corp | NVSL | Savings Institution, Federally Chartered (6035) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1296140 | C John Roman | 333 Church Street Naugatuck CT 06770 | President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-11-18 | 500 | $6.00 | 22,928 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-11-18 | 150 | $6.50 | 23,078 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-11-18 | 100 | $6.25 | 23,178 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-11-18 | 100 | $6.24 | 23,278 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-11-18 | 50 | $6.45 | 23,328 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,508 | Indirect | By 401(k) |
| Common Stock | 5,348 | Indirect | By ESOP |
| Common Stock | 1,000 | Indirect | By IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (right to buy) | $11.10 | 2006-07-26 | 2015-07-26 | 37,000 | 37,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-07-26 | 37,000 | 37,000 | Direct |
Footnotes
- Since the reporting person's last report 8,800 shares previously held through Stock Award vested to direct ownership.
- This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to Rule 16b-3(c).
- Stock Options granted pursuant to the Naugatuck Valley Financial Corporation 2005 Equity Incentive Plan vest in five equal annual installments commencing on July 26, 2006.
Billionaire Hedge Funds
