Rockville Financial, Inc. /CT/ 4

Accession 0001209191-13-037399

CIK 0001501364operating

View on SEC.gov Company Profile

Filed

Jul 21, 8:00 PM ET

Accepted

Jul 22, 4:20 PM ET

Size

47.5 KB

Accession

0001209191-13-037399

Insider Transaction Report

Form 4

Period: 2013-07-18

Rockville Financial, Inc. /CT/RCKB

Rosner Laurie A

Other

Transactions

Exercise of In-Money
Stock Options
2013-07-18−9,858→ 0 total
Exercise: $9.46From: 2007-08-14Exp: 2013-08-19→ Common Stock (9,858 underlying)
Exercise/Conversion
Common Stock
2013-07-18$9.46/sh+9,858$93,257→ 15,358 total
Exercise/Conversion
Common Stock
2013-07-18$10.99/sh+2,774$30,486→ 2,774 total
Sale
Common Stock
2013-07-18$13.42/sh−17,100$229,523→ 0 total
Exercise of In-Money
Stock Options
2013-07-19−8,116→ 0 total
Exercise: $7.90From: 2008-02-20Exp: 2013-08-19→ Common Stock (8,116 underlying)
Exercise of In-Money
Stock Options
2013-07-19−5,663→ 2,830 total
Exercise: $6.09From: 2009-03-16Exp: 2013-08-19→ Common Stock (8,493 underlying)
Exercise of In-Money
Stock Options
2013-07-19−3,113→ 0 total
Exercise: $7.42From: 2010-11-15Exp: 2013-08-19→ Common Stock (3,113 underlying)
Exercise/Conversion
Common Stock
2013-07-19$7.90/sh+8,116$64,116→ 8,116 total
Exercise/Conversion
Common Stock
2013-07-19$7.42/sh+3,113$23,098→ 11,229 total
Exercise/Conversion
Common Stock
2013-07-18$9.50/sh+2,726$25,897→ 5,500 total
Exercise/Conversion
Common Stock
2013-07-18$7.90/sh+1,742$13,762→ 17,100 total
Exercise/Conversion
Common Stock
2013-07-19$6.09/sh+5,663$34,488→ 16,892 total
Sale
Common Stock
2013-07-19$13.41/sh−16,892$226,576→ 0 total
Exercise of In-Money
Stock Options
2013-07-18−139→ 0 total
Exercise: $10.99From: 2012-06-21Exp: 2013-08-19→ Common Stock (139 underlying)
Exercise of In-Money
Stock Options
2013-07-18−2,635→ 0 total
Exercise: $10.99From: 2012-06-21Exp: 2013-08-19→ Common Stock (2,635 underlying)
Exercise of In-Money
Stock Options
2013-07-18−2,726→ 0 total
Exercise: $9.50From: 2011-09-02Exp: 2013-08-19→ Common Stock (2,726 underlying)
Exercise of In-Money
Stock Options
2013-07-18−1,742→ 8,116 total
Exercise: $7.90From: 2008-02-20Exp: 2013-08-19→ Common Stock (9,858 underlying)

Holdings

Common Stock
23,294
Common Stock
(indirect: By 401(k))
29,682.7
Common Stock
(indirect: By Rockville Bank ESOP Plan)
15,031.224
Common Stock
(indirect: By Spouse)
9,814
Common Stock
(indirect: By Spouse)
3,505
Common Stock
(indirect: By IRA)
160

Footnotes (19)

[F1]Includes 5,120 shares held jointly with husband.
[F10]The price included in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.40 to $13.45 per share, inclusive. The reporting person undertakes to provide to Rockville Financial, Inc. or any of its security holders, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 10.
[F11]Stock options granted pursuant to the Rockville Financial, Inc.'s 2006 Stock Incentive Award Plan and will become exercisable in five equal annual installments of 20%, with the first 20% becoming exercisable on June 21, 2012 and the subsequent vesting on each annual anniversary of the grant date thereafter.
[F12]The expiration date has been amended to 90 days from Ms. Rosner's termination date of May 21, 2013 in accordance with the 2006 Stock Incentive Award Plan.
[F13]Stock options granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and will become exercisable in four equal annual installments of 25%, with the first 25% becoming exercisable on June 21, 2012 and the subsequent vesting on each annual anniversary of the grant date thereafter.
[F14]The expiration date has been amended to 90 days from Ms. Rosner's termination date of May 21, 2013 in accordance with the 2012 Stock Incentive Plan.
[F15]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 September 2, 2011 and the subsequent vesting on each annual anniversary of that date.
[F16]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.
[F17]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.
[F18]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.
[F19]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.
[F2]Includes 5,972 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 6,000 shares (x 1.5167 exchange ratio became 9,100 shares) will became vested in equal 20% increments over a five year period, with the first 20% vesting on December 6, 2006 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 3,128 shares (2,062 shares x 1.5167 exchange ratio became 3,128 shares in March 2011).
[F3]Includes 1,420 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 1,500 shares (x 1.5167 exchange ratio became 2,275 shares) will become vested in equal 20% increments over a five year period, with 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 855 shares (226 shares x 1.5167 exchange ratio became 342 shares in March 2011, plus 513 shares since that time) withheld by the Issuer for tax withholding purposes.
[F4]Includes 1,838 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 1,500 shares (x 1.5167 exchange ratio became 2,275 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 284 shares (77 shares x 1.5167 exchange ratio became 116 shares in March 2011, plus 321 shares since that time) withheld by the Issuer for tax withholding purposes.
[F5]Includes 1,140 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 1,344 shares vest in equal 20% increments over a five year period, the first 20% vesting on September 2, 2011 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 204 shares withheld by the Issuer for tax withholding purposes.
[F6]Includes 3,601 restricted shares granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan. The original grant of 3,933 shares vest in four equal annual installments of 25%, the first 25% vesting on June 21, 2012 and the subsequent vesting on each annual anniversary of the grant date thereafter. The reported number of shares is net of 332 shares withheld by the Issuer for tax withholding purposes.
[F7]Includes 3,807 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 4,000 shares (x 1.5167 exchange ratio became 6,066 shares) will become vested in equal 20% increments over a five year period, with the first 20% vesting on February 20, 2008 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 2,259 shares (1,188 shares x 1.5167 exchange ratio became 1,801 shares in March 2011, plus 458 shares since that time) withheld by the Issuer for tax withholding purposes.
[F8]Shares allocated to the account of Ms. Rosner under the Rockville Bank Employee Stock Ownership Plan, of which all shares are vested.
[F9]The price included in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.40 to $13.47 per share, inclusive. The reporting person undertakes to provide to Rockville Financial, Inc. or any of its security holders, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 9.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Rockville Financial, Inc. /CT/

CIK 0001501364

→

Entity typeoperating

Related Parties

filerCIK 0001501364

Filing Metadata

Form type: 4
Filed: Jul 21, 8:00 PM ET
Accepted: Jul 22, 4:20 PM ET
Size: 47.5 KB

View on SEC.gov