SEC Form 5 · accession 0001209191-15-012661
United Financial Bancorp, Inc. · UBNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Kristen Johnson
Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 12, 2015 · 4:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501364
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF4 | Dec 31, 2014 | A | 534 | $0.00 | A | 18,161 | I | By Rockville Bank 401(k) Plan |
| Common StockF1,F2,F3 | holding | — | — | — | 33,409 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF5 | $7.42 | holding | — | — | — | Nov 15, 2010 | Nov 15, 2020 | Common Stock | 5,308 | 5,308 | D |
| Stock OptionsF6 | $10.99 | holding | — | — | — | Jun 21, 2012 | Jun 21, 2022 | Common Stock | 2,017 | 2,017 | D |
| Stock OptionsF7 | $10.99 | holding | — | — | — | Jun 21, 2013 | Jun 21, 2022 | Common Stock | 5,682 | 5,682 | D |
Explanation of responses
- F1Includes 10,265 shares of Restricted Stock granted on June 21, 2012 pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and vested on the first annual anniversary of the grant date.
- F2Includes 1,698 shares of Restricted Stock granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and shall vest on the first annual anniversary of the grant date. Pursuant to the Agreement and Plan of Merger, dated November 14, 2013, at legal close on April 30, 2014, all shares became 100% vested.
- F3Includes 1,820 shares of Restricted Stock granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and shall vest on the first annual anniversary of the grant date.
- F4Additional non-reportable shares acquired in the Rockville Bank 401(k) Plan during 2014 for Ms. Johnson, not previously reported are comprised of 534.2569 shares purchased in 2014.
- F5Stock 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. Pursuant to the Agreement and Plan of Merger, dated November 14, 2013, at legal close on April 30, 2014, all options became 100% vested
- F6Stock 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. Pursuant to the Agreement and Plan of Merger, dated November 14, 2013, at legal close on April 30, 2014, all options became 100% vested
- F7Stock Options granted on June 21, 2012 pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and shall vest on the first annual anniversary of the grant date. Pursuant to the Agreement and Plan of Merger, dated November 14, 2013, at legal close on April 30, 2014, all options became 100% vested.