5//SEC Filing
Rockville Financial, Inc. /CT/ 5
Accession 0001209191-14-009685
CIK 0001501364operating
Filed
Feb 11, 7:00 PM ET
Accepted
Feb 12, 4:18 PM ET
Size
21.0 KB
Accession
0001209191-14-009685
Insider Transaction Report
Form 5
Lund John T
SVP, CFO, Treasurer
Transactions
- Award
Common Stock
2013-12-31+1,566.41→ 9,391.838 total(indirect: By Rockville Bank ESOP Plan)
Holdings
- 26,065
Common Stock
- 4,775.637(indirect: By 401(k))
Common Stock
- 6,976
Stock Options
Exercise: $7.42From: 2010-11-15Exp: 2020-11-15→ Common Stock (6,976 underlying) - 4,739
Stock Options
Exercise: $13.25From: 2013-06-21Exp: 2023-06-21→ Common Stock (14,217 underlying) - 15,689
Stock Options
Exercise: $9.50From: 2011-09-02Exp: 2021-09-02→ Common Stock (15,689 underlying) - 19,292
Stock Options
Exercise: $10.99From: 2012-06-21Exp: 2022-06-21→ Common Stock (19,292 underlying) - 4,739
Stock Options
Exercise: $13.25From: 2013-06-21Exp: 2023-06-21→ Common Stock (4,739 underlying) - 9,479
Stock Options
Exercise: $6.09From: 2009-03-16Exp: 2019-03-16→ Common Stock (9,479 underlying) - 54,352
Stock Options
Exercise: $10.99From: 2012-06-21Exp: 2022-06-21→ Common Stock (54,352 underlying)
Footnotes (13)
- [F1]Includes 303 shares held jointly with wife.
- [F10]Shares allocated to the account of Mr. Lund under the Rockville Bank Employee Stock Ownership Plan, of which all shares are vested as of December 31, 2013.
- [F11]Total beneficial ownership is 40,232.4751 at 12/31/2013.
- [F12]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 installment to vest on the grant date and an additional 20% to vest on each annual anniversary of the grant date thereafter.
- [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 installment to vest on the grant date and an additional 25% to vest on each annual anniversary of the grant date thereafter.
- [F2]Includes 1,484 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, 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 791 shares (226 x 1.5167 exchange ratio became 342 shares in March 2011, plus 449 shares since that time) withheld by the Issuer for tax withholding purposes.
- [F3]Includes 1,651 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 624 shares (77 x 1.5167 exchange ratio became 116 shares in March 2011, plus 508 shares since that time) withheld by the Issuer for tax withholding purposes.
- [F4]Includes 2,428 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 3,094 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 666 shares withheld by the Issuer for tax withholding purposes.
- [F5]Includes 12,643 restricted shares granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan. The original grant of 15,212 shares vest in four equal annual installments of 25%, with 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 2,569 shares withheld by the Issuer for tax withholding purposes.
- [F6]Includes 5,071 restricted shares granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and cliff vest on the third anniversary of the grant date, if, and only if Rockville Financial, Inc. meets certain performance goals.
- [F7]Includes 1,186 Shares of Restricted Stock granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan. The original grant of 1,301 shares vest in four equal annual installments of 25%, with the first installment to vest on June 21, 2013 and an additional 25% to vest on each annual anniversary of the grant date thereafter. The reported number is net of 115 shares withheld by the Issuer for tax withholding purposes.
- [F8]Includes 1,301 shares of Restricted Stock granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and cliff vest on the third anniversary of the grant date, if, and only if, Rockville Financial, Inc. meeting certain performance goals.
- [F9]Additional non-reportable shares acquired in the Rockville Bank 401(k) Plan during 2013 for Mr. Lund, not previously reported are comprised of 1,188.6914 shares purchased in 2013.
Documents
Issuer
Rockville Financial, Inc. /CT/
CIK 0001501364
Entity typeoperating
Related Parties
1- filerCIK 0001501364
Filing Metadata
- Form type
- 5
- Filed
- Feb 11, 7:00 PM ET
- Accepted
- Feb 12, 4:18 PM ET
- Size
- 21.0 KB