SEC Form 5 · accession 0001501364-18-000018
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, 2017
Accepted (ET)
Feb 14, 2018 · 7:04 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 | Dec 31, 2017 | A | 502 | $0.00 | A | 19,955 | I | By United Bank 401(k) Plan |
| Common StockF3,F4,F5,F6,F7,F8 | holding | — | — | — | 39,045 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF9 | $7.42 | holding | — | — | — | Nov 15, 2010 | Nov 15, 2020 | Common Stock | 5,308 | 5,308 | D |
| Stock OptionsF10 | $10.99 | holding | — | — | — | Jun 21, 2012 | Jun 21, 2022 | Common Stock | 5,682 | 5,682 | D |
| Stock OptionsF11 | $10.99 | holding | — | — | — | Jun 21, 2012 | Jun 21, 2022 | Common Stock | 2,017 | 2,017 | D |
Explanation of responses
- F1Shares allocated to the account of Ms. Johnson under the United Bank 401(k) Plan, of which all shares are vested.
- F10Stock 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 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.
- F11Stock Options 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.
- F2Additional non-reportable shares acquired in the United Bank 401(k) Plan during 2017, not previously reported.
- F3Includes 10,265 shares of Restricted Stock 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.
- F4Includes 1,820 shares of Restricted Stock granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan which vested on the first annual anniversary of the June 20, 2014 grant date.
- F5Includes 1,796 shares of Restricted Stock granted pursuant to the United Financial Bancorp, Inc. 2015 Omnibus Stock Incentive Plan that vested on the first annual anniversary of the November 22, 2016 grant date.
- F6Includes 1,698 shares of Restricted Stock granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan on June 21, 2013, and pursuant to the Agreement and Plan of Merger, dated November 14, 2013, at legal close on April 30,2014, all shares became 100% vested.
- F7Includes 2,209 shares of Restricted Stock granted pursuant to the United Financial Bancorp, Inc. 2015 Omnibus Stock Incentive Plan that vested on the first annual anniversary of the November 18, 2015 grant date.
- F8Includes 1,631 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 November 22, 2017 grant date.
- F9Stock 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.