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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options | $ 14.39 | 12/30/2005 | 06/17/2015 | Common Stock | 275,000 | 275,000 | D | ||||||||
Stock Options (3) | $ 12.94 | 05/31/2010 | 05/29/2019 | Common Stock | 17,745 | 17,745 | D | ||||||||
Stock Options (4) | $ 11.77 | 05/31/2011 | 05/28/2020 | Common Stock | 19,221 | 19,221 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CHAFFEE DON T C/O NEWALLIANCE BANK 195 CHURCH STREET NEW HAVEN, CT 06510 |
Executive V.P. |
/s/ John J. Kiernan, Jr. by POA for Don T. Chaffee | 12/22/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Representing shares withheld by the issuer for tax liability purposes with respect to the vesting of and removal of restrictions on shares of Restricted Stock previously issued to the Reporting Person and the issuance of Performance shares. |
(2) | Represents the issuance of Performances shares pursuant to the acceleration of awards previously disclosed in Form 8 - K filings on May 26, 2009 and May 25, 2010. |
(3) | Stock Options granted pursuant to the NewAlliance Bancshares, Inc. Long-term Incentive Plan vest 1/4 on each May 31 of years 2010 - 2013. |
(4) | Stock Options granted pursuant to the NewAlliance Bancshares, Inc. Long-Term Incentive Plan vest 1/4 on each May 31 of years 2011 - 2014. |