SEC Form 4/A · accession 0001501364-18-000040
United Financial Bancorp, Inc. · UBNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Raymond H Lefurge Jr.
Director
Period of report
Feb 13, 2018
Accepted (ET)
Mar 28, 2018 · 4:56 pm EDT
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,F5,F6,F7 | Feb 13, 2018 | M | 5,308 | $7.90 | A | 75,999 | D | |
| Common StockF8 | holding | — | — | — | 12,258 | I | Held by wife in IRA | |
| Common Stock | holding | — | — | — | 2,377 | I | Held in SEP IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF10 | $7.90 | Feb 13, 2018 | X | 5,308 | D | Feb 20, 2008 | Feb 20, 2018 | Common Stock | 5,308 | 0 | D |
| Stock OptionsF9 | $7.42 | holding | — | — | — | Nov 15, 2010 | Nov 15, 2020 | Common Stock | 5,308 | 5,308 | D |
| Stock OptionsF11 | $10.99 | holding | — | — | — | Jun 21, 2012 | Jun 21, 2022 | Common Stock | 2,017 | 2,017 | D |
| Stock OptionsF12 | $10.99 | holding | — | — | — | Jun 21, 2013 | Jun 21, 2022 | Common Stock | 5,682 | 5,682 | D |
| Stock OptionsF13 | $6.09 | holding | — | — | — | Mar 16, 2009 | Mar 16, 2019 | Common Stock | 5,308 | 5,308 | D |
Explanation of responses
- F1Includes 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.
- F10Stock 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.
- F11Stock 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.
- F12Stock Options granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and shall vest on the first annual anniversary of the grant date.
- F13Stock 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.
- F2Includes 10,265 shares of Restricted Stock granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan on June 21, 2012, that vested on the first annual anniversary of the grant date.
- F3Includes 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.
- F4Includes 13,000 shares held jointly with wife.
- F5Includes 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 the Merger, dated November 14, 2013, at legal close on April 30,2014, all shares became 100% vested.
- F6Includes 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.
- F7Inadvertently reported incorrectly in the Form 5 filed on February 14, 2017 and on all the subsequent filings since then.
- F8Inadvertently reported incorrectly in the Form 5 filed on February 14, 2018 and on all the subsequent filings since then.
- 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.