FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Rockville Financial Inc. [ RCKB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/18/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 1,658.598 | I(1) | By Rockville Bank 401(k) Plan | |||||||
Common Stock | 05/18/2007 | S | 1,230 | D | $14.75 | 15,028 | D(2)(3) | |||
Common Stock | 1,334.1916 | I(4)(5) | By Rockville Bank ESOP Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options | $17.77 | 12/13/2008 | 12/13/2016 | Common Stock | 2,000 | 2,000 | D |
Explanation of Responses: |
1. Includes non-reportable shares acquired in the Rockville Bank 401(k) Plan during the first quarter 2007 for Mr. Trachimowicz, not previously reported of 4.2604 shares on 1/16/2007, 4.8173 shares purchasd on 1/22/2007, 4.8993 shares purchased on 2/7/2007, 4.5740 shares purchased on 2/15/2007, .6016 shares purchased on 2/26/2007, 5.0523 shares purchased on 3/2/2007, 4.7056 shares purchased on 3/20/2007, 84.8429 shares purchased on 3/22/2007, and 5.0938 shares purchased on 3/29/2007. |
2. Includes 3,100 shares held jointly with wife. |
3. Includes 958 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. Of the original 1,000 shares granted 20% vested on December 22, 2006 and 20% will vest on each December 13 of years 2007 - 2010. |
4. Shares allocated to the account of Mr. Trachimowicz under the Rockville Bank Employee Stock Ownership Plan, of which 1,334.1916 shares are vested as of December 31, 2006. |
5. After the transaction dated May 18, 2007, total beneficial ownership is 18,020.7896 shares. |
Remarks: |
/s/ Marliese L. Shaw by POA | 05/22/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |