Home > Insider Trading > Filing (0001225208-11-016902)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1493552	Naugatuck Valley Financial Corp	NVSL	Savings Institution, Federally Chartered (6035)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1296138	C William Nimons	333 Church Street Naugatuck CT 06770	Senior Vice President	No	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	2011-06-29	7,642	$0.00	7,642	No	4	J	Direct
Common Stock	Acquisiton	2011-06-29	8,750	$0.00	8,750	No	4	J	Indirect	By 401(k)
Common Stock	Acquisiton	2011-06-29	7,870	$8.00	16,620	No	4	I	Indirect	By 401(k)
Common Stock	Acquisiton	2011-06-29	3,535	$0.00	3,535	No	4	J	Indirect	By ESOP
Common Stock	Acquisiton	2011-06-29	9,718	$0.00	9,718	No	4	J	Indirect	By IRA
Common Stock	Acquisiton	2011-06-29	498	$0.00	498	No	4	J	Indirect	By Spouse
Common Stock	Acquisiton	2011-06-29	9,718	$0.00	9,718	No	4	J	Indirect	By Spouse's IRA
Common Stock	Acquisiton	2011-06-29	2,000	$8.00	2,000	No	4	P	Indirect	By Trust
Common Stock	Acquisiton	2011-06-29	498	$0.00	2,498	No	4	J	Indirect	By Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Direct
No	4	J	Indirect	By 401(k)
No	4	I	Indirect	By 401(k)
No	4	J	Indirect	By ESOP
No	4	J	Indirect	By IRA
No	4	J	Indirect	By Spouse
No	4	J	Indirect	By Spouse's IRA
No	4	P	Indirect	By Trust
No	4	J	Indirect	By Trust

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Acquisiton	2011-06-29	17,960	$0.00	17,960	$11.12

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
17,960	2006-07-26	2015-07-26	No	4	J	Direct

Footnotes

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).
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.
Stock Options granted pursuant to the Naugatuck Valley Financial Corporation 2005 Equity Incentive Plan are fully vested and exercisable.