Buchholz Christopher E 4

Accession 0001140361-11-014715

CIK 0001501364other

View on SEC.gov Company Profile

Filed

Mar 6, 7:00 PM ET

Accepted

Mar 7, 4:05 PM ET

Size

24.6 KB

Accession

0001140361-11-014715

Insider Transaction Report

Form 4

Period: 2011-03-03

Rockville Financial, Inc. /CT/RCKBD

Buchholz Christopher E

EVP

Transactions

Other
Common Stock
2011-03-03+9,150→ 9,150 total(indirect: By Rockville Bank ESOP Plan)
Other
Common Stock
2011-03-03+6,785→ 6,785 total(indirect: By 401(k))
Purchase
Common Stock
2011-03-03$10.00/sh+3,369$33,690→ 3,369 total(indirect: By 401(k))
Other
Stock Options
2011-03-03+9,858→ 9,858 total
Exercise: $11.72From: 2008-12-13Exp: 2016-12-13→ Common Stock (9,858 underlying)
Other
Stock Options
2011-03-03+15,167→ 15,167 total
Exercise: $9.46From: 2007-08-14Exp: 2017-08-14→ Common Stock (15,167 underlying)
Other
Stock Options
2011-03-03+15,167→ 15,167 total
Exercise: $7.90From: 2008-02-20Exp: 2018-02-20→ Common Stock (15,167 underlying)
Other
Stock Options
2011-03-03+17,062→ 17,062 total
Exercise: $6.09From: 2009-03-16Exp: 2019-03-16→ Common Stock (17,062 underlying)
Other
Stock Options
2011-03-03+10,700→ 10,700 total
Exercise: $7.42From: 2010-11-15Exp: 2020-11-15→ Common Stock (10,700 underlying)
Other
Common Stock
2011-03-03+21,793→ 21,793 total

Footnotes (11)

[F1]Pursuant to the Plan of Conversion and Reorganization, each share of Rockville Financial, Inc. was exchanged for 1.5167 shares of Rockville Financial New, Inc.
[F10]Stock options granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan and will become exercisable in equal 20% increments over a five year period, the first 20% becoming exercisable on March 16, 2009 and the subsequent vesting on each annual anniversary of that date.
[F11]Stock options granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan and will become exercisable in equal 20% increments over a five year period, the first 20% becoming exercisable on November 15, 2010 and the subsequent vesting on each annual anniversary of that date.
[F2]Includes 3596 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 2,500 shares (x 1.5167 exchange ratio becomes 3791 shares) vest in equal 20% increments over a five year period, the first 20% vesting on November 15, 2010 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 129 (x 1.5167 exchange ratio becomes 195 shares)withheld by the Issuer for tax withholding purposes.
[F3]Includes 3958 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 4,000 shares (x 1.5167 exchange ratio becomes 6066) vested 20% on December 22, 2006, and each December 13 of 2007, 2008, 2009 and 2010. The reported number of shares is net of 1390 (x 1.5167 exchange ratio becomes 2108 shares)withheld by the Issuer for tax withholding purposes.
[F4]Includes 10,923 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 10,000 shares (x 1.5167 exchange ratio becomes 15,167 shares) vest in equal 20% increments over a five year period, the first 20% on February 20, 2008 and the subsequent vesting on each annual anniversary of that date. The reported number is net of 2798 (x 1.5167 exchange ratio becomes 4,243 shares)withheld by the Issuer for tax withholding purposes.
[F5]Includes 3,315 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 2,500 shares (x 1.5167 exchange ratio becomes 3791 shares) will become vested in equal 20% increments over a five year period, the first 20% vesting on March 16, 2009 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 314 (x 1.5167 exchange ratio becomes 476 shares)withheld by the Issuer for tax withholding purposes.
[F6]Shares allocated to the account of Mr. Buchholz under the Rockville Bank Employee Stock Ownership Plan, of which 7318.400 shares are vested as of March 3, 2011.
[F7]Pursuant to the Plan of Conversion and Reorganization, each option to purchase a share of Rockville Financial, Inc. was converted into an option to purchase 1.5167 shares of Rockville Financial New, Inc. common stock, truncated down to the nearest whole share. The exercise price per share for each converted option is determined by dividing the exercise price of such converted option by the 1.5167 exchange ratio, with such quotient rounded to the nearest whole cent. All such options continue to vest according to their original terms.
[F8]Stock options granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan and will become exercisable in equal 20% increments over a five year period, the first 20% becoming exercisable on August 14, 2007 and the subsequent vesting on each annual anniversary of that date.
[F9]Stock options granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan and will become exercisable in equal 20% increments over a five year period, the first 20% becoming exercisable on February 20, 2008 and the subsequent vesting on each annual anniversary of that date.

Documents

1 file

4
doc1.xmlPrimary
FORM 4

Issuer

Rockville Financial, Inc. /CT/

CIK 0001501364

→

Entity typeother

Related Parties

filerCIK 0001365762

Filing Metadata

Form type: 4
Filed: Mar 6, 7:00 PM ET
Accepted: Mar 7, 4:05 PM ET
Size: 24.6 KB

View on SEC.gov