0001214659-15-001264.txt : 20150212 0001214659-15-001264.hdr.sgml : 20150212 20150212163120 ACCESSION NUMBER: 0001214659-15-001264 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Naugatuck Valley Financial Corp CENTRAL INDEX KEY: 0001493552 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 010969655 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-86333 FILM NUMBER: 15606729 BUSINESS ADDRESS: STREET 1: 333 CHURCH STREET CITY: NAUGATUCK STATE: CT ZIP: 06770 BUSINESS PHONE: 203 720 50000 MAIL ADDRESS: STREET 1: 333 CHURCH STREET CITY: NAUGATUCK STATE: CT ZIP: 06770 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RBC Capital Markets, LLC CENTRAL INDEX KEY: 0000050916 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 411228350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: RBC DAIN RAUSCHER PLAZA STREET 2: 60 SOUTH SIXTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612 371-2711 MAIL ADDRESS: STREET 1: 60 SOUTH 6TH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 FORMER COMPANY: FORMER CONFORMED NAME: RBC Capital Markets CORP DATE OF NAME CHANGE: 20080325 FORMER COMPANY: FORMER CONFORMED NAME: RBC DAIN RAUSCHER INC DATE OF NAME CHANGE: 20060110 FORMER COMPANY: FORMER CONFORMED NAME: RBC DAIN RAUSCHER CORP DATE OF NAME CHANGE: 20011228 SC 13G 1 a212151sc13g.htm a212151sc13g.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
 
SCHEDULE 13G
 
Under the Securities Exchange Act of 1934
 
 
 
Naugatuck Valley Financial Corp
 (Name of Issuer)
 
Common Stock
(Title of Class of Securities)
 
63906P107
(CUSIP Numbers)
 
 
December 31, 2014
(Date of Event Which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
x      Rule 13d-1(b)
 
o      Rule 13d-1(c)
 
o      Rule 13d-1(d)
 
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
 
 
 
CUSIP No. 63906P107
 
 
  1. 
  
Names of Reporting Persons
I.R.S. Identification Nos. of above persons (entities only).
 
RBC Capital Markets, LLC
  2.
  
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)  o        (b)  o
 
  3.
  
SEC Use Only
 
  4.
  
Citizenship or Place of Organization
 
    Minnesota
Number of
Shares
Beneficially
Owned by each
Reporting
Rerson With:
  
5. 
Sole Voting Power
 
    0
 
  
6.
Shared Voting Power
 
    0
 
    
  
7.
Sole Dispositive Power
 
    0
 
  
8.
Shared Dispositive Power
 
    427,082
 
  9.
  
Aggregate Amount Beneficially Owned by Each Reporting Person
 
    427,082
10.
  
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
 
    o
11.
  
Percent of Class Represented by Amount in Row (9)
 
    6.1%
12.
  
Type of Reporting Person (See Instructions)
 
    BD and IA
 
 
 
     
 
Item 1.
 
(a)
Name of Issuer
 
Naugatuck Valley Financial Corp
 
(b)
Address of Issuer’s Principal Executive Offices
 
333 Church Street
Naugatuck, CT 06770
 
 
Item 2.
 
(a)
Name of Person Filing
RBC Capital Markets, LLC
   
(b)
Address of Principal Business Office or, if none, Residence
 
Brookfield Place
200 Vesey Street
New York, New York 10281
   
(c)
Citizenship
See Item 4 of the Cover Pages.
   
(d)
Title of Class of Securities
Common Stock
   
(e)
CUSIP Numbers
63906P107
 
 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the persons filing are:
 
(a)
x
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
     
(b)
o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
     
(c)
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
     
(d)
o
Investment company registered under section 8 of the Investment Company Act of 1940  (15 U.S.C 80a-8).
     
(e)
x
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
     
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
     
(g)
o
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
     
(h)
o
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
     
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
     
(j)
o
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
     
(k)
o
Group, in accordance with §240.13d-1(b)(1)(ii)(K).
 
 
 
 
 
 
Item 4.
Ownership
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 
(a)
Amount beneficially owned: 427,082
   
(b)
Percent of class: 6.1%.
   
(c)
Number of shares as to which the person has:
   
 
(i)
Sole power to vote or to direct the vote
0
     
 
(ii)
Shared power to vote or to direct the vote
0
     
 
(iii)
Sole power to dispose or to direct the disposition of
0
     
 
(iv)
Shared power to dispose or to direct the disposition of
427,082

Instruction:  For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).
 
Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [   ].
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person
 
 
Not applicable.
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company
 
 
Not applicable.
 
Item 8.
Identification and Classification of Members of the Group
 
 
Not applicable.
 
Item 9.
Notice of Dissolution of Group
 
 
Not applicable.
 
Item 10.
Certification
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
 
 
 
 
SIGNATURE
 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
Dated: February 12, 2015

 
RBC CAPITAL MARKETS, LLC
  
     
     
 
/s/ John Penn*
  
     
 
Signature
  

 
John Penn/Authorized Signatory
  
     
 
Name/Title
  
 
 
 
 
 
                                                               
*
This Schedule 13G/A was executed by John Penn pursuant to the power of attorney filed with the Securities and Exchange Commission on November 12, 2010 in connection with a Schedule 13G/A for RMR Real Estate Income Fund, which power of attorney is incorporated herein by reference.