SEC Form 4 · accession 0001209191-15-087124
United Financial Bancorp, Inc. · UBNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carol A Leary
Director
Period of report
Dec 21, 2015
Accepted (ET)
Dec 28, 2015 · 4:06 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 StockF1,F2,F3,F4 | Dec 21, 2015 | G | 190 | $0.00 | D | 35,249 | D | |
| Common StockF1,F2,F3,F4 | Dec 21, 2015 | G | 3,077 | $0.00 | D | 32,172 | D | |
| Common StockF1,F2,F3,F4 | Dec 22, 2015 | G | 766 | $0.00 | D | 31,406 | D | |
| Common StockF1,F2,F3 | Dec 23, 2015 | M | 14,371 | $9.17 | A | 45,777 | D | |
| Common StockF1,F2,F3 | Dec 23, 2015 | S | 14,371 | $13.1516 | D | 31,406 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF6 | $9.17 | Dec 23, 2015 | X | 14,371 | D | Aug 17, 2007 | Aug 17, 2016 | Common Stock | 28,743 | 14,372 | D |
| Stock OptionsF5 | $8.66 | holding | — | — | — | Jun 19, 2009 | Jun 19, 2018 | Common Stock | 27,617 | 27,617 | D |
Explanation of responses
- F1Includes 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.
- F2Pursuant to the Agreement and Plan of Merger, dated November 14, 2013, each share of United Financial Bancorp, Inc. was exchanged for 1.3472 shares of Rockville Financial, Inc. At legal close, Rockville Financial, Inc. changed its name to United Financial Bancorp, Inc. in connection with the merger of United Financial Bancorp, Inc. into Rockville Financial, Inc.
- F3Includes 2,209 shares of Restricted Stock granted pursuant to the United Financial Bancorp, Inc. 2015 Omnibus Stock Incentive Plan and shall vest on the first annual anniversary of the grant date.
- F4Transaction represents shares disposed as a bona fide gift.
- F5Options to purchase shares of common stock are 100% vested and also includes an equal number of stock appreciation rights.
- F6Options to purchase shares of common stock vest are 100% vested