| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 | | OMB APPROVAL | | OMB Number: | 3235-0287 | | Expires: | February 28, 2011 | | Estimated average burden | | hours per response | 0.5 |
|
|
| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See Instruction 1(b). |
1. Name and Address of Reporting Person*
| C/O NEWALLIANCE BANK, 195 CHURCH STREET | |
(Street)
| 2. Issuer Name and Ticker or Trading Symbol
NEWALLIANCE BANCSHARES INC
[NAL] | 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable) | Director | | 10% Owner | | X | Officer (give title below) | | Other (specify below) | | EVP & CFO |
|
3. Date of Earliest Transaction (Month/Day/Year)
11/02/2009 |
4. If Amendment, Date of Original Filed (Month/Day/Year)
| 6. Individual or Joint/Group Filing (Check Applicable Line)| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1.Title of Security
(Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code
(Instr. 8) | 4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) | 7. Nature of Indirect Beneficial Ownership
(Instr. 4) |
| Code | V | Amount | (A) or (D) | Price |
|
Common Stock
| 11/02/2009 | | A | |
30,000
| A | $
11.01
|
30,000
|
I
|
By Stock Award
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
|
Stock Options
| $
11.01
| 11/02/2009 | | A | |
30,000
| | 11/02/2010 | 11/02/2019 |
Common Stock
|
30,000
|
$
11.01
|
30,000
|
D
| |
| Explanation of Responses: |
|
|
| /s/ Glenn I. MacInnes POA by John J. Kiernan, Jr. | 11/02/2009 |
| ** Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * 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).
|
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure. |
| 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 Number. |
EX-24
poa.htm
NEWALLIANCE
BANCSHARES, INC.
POWER
OF ATTORNEY
The
undersigned hereby constitutes and appoints Mark Doyle or John Kiernan,
individually or collectively my true and lawful attorneys with full power to
sign for me and in my name, in the capacities indicated below with respect to
NewAlliance Bancshares, Inc., Forms 3, 4, and 5, and such other Forms or
materials that are or may be promulgated by the Securities and Exchange
Commission in connection with compliance with Section 16(8) of the Securities
Exchange Act of 1934 and Rule 16a-3 under such Act, and generally to do all such
things in my name and behalf in such capacities, granting unto said
attorney-infact and agents, and each of them, full power and authority to do and
perform each and every act and thing requisite and necessary to be done in
connection therewith, as fully to all intents and purposes as such person might
or could do in person hereby ratifying and confirming my signature as it may be
signed by my said attorneys, or either of them, to said Forms and any and all
amendments thereto.
Signature: /s/ Glenn I.
MacInnes
Print
Name: Glenn I. MacInnes
NewAlliance
Title: Executive Vice President &. Chief Financial Officer
Date:
November 2, 2009