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 |
|
|||||||||||||||
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)
|
2. Issuer Name and Ticker or Trading Symbol
Rockville Financial Inc. [ RCKB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 09/22/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
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 | 9,970.8497 | I(1) | By Rockville Bank 401(k) Plan | |||||||
Common Stock | 5,484 | I | Held by husband | |||||||
Common Stock | 09/22/2008 | S | 100 | D | $14.95 | 15,910 | D(2)(3)(4) | |||
Common Stock | 09/22/2008 | S | 900 | D | $15.27 | 15,910 | D | |||
Common Stock | 09/23/2008 | S | 6,000 | D | $14.96 | 15,910 | D | |||
Common Stock | 3,673.8809 | I(5)(6) | By Rockville Bank ESOP Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | 6,500 | 6,500 | D | ||||||||
Stock Options | $14.35 | 08/14/2007(7) | 08/14/2017 | Common Stock | 6,500 | 6,500 | D | ||||||||
Stock Options | $11.98 | 02/20/2008(8) | 02/20/2018 | Common Stock | 6,500 | 6,500 | D |
Explanation of Responses: |
1. Includes non-reportable shares acquired in the Rockville Bank 401(k) Plan during the first and second quarter 2008 for Ms. Rosner, not previously reported of 397.5391 shares purchased on 2/10/2008, 2.4405 shares purchased on 2/21/2008, .4057 shares purchased on 3/2/2008, 1.0768 shares purchased on 3/6/2008, .0780 shares purchased on 3/17/2008, .0162 shares purchased on 3/30/2008, 21.8600 shares purchased on 4/17/2008, 25.5800 shares purchased on 5/7/2008, 26.8650 shares on 5/13/2008, 28.0569 shares purchasd on 5/26/2008, 4.4460 shares purchased on 5/27/2008, 38.5910 shares purchased on 6/5/2008, 26.3304 shares purchased on 6/11/2008, and 28.7832 shares purchased on 6/23/2008. |
2. Includes 5,120 shares held jointly with husband. |
3. Includes 4,638 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. Of the original 6,000 shares granted 20% vested on December 22, 2006, 20% vested on December 13, 2007, and 20% will vest on each December 13 of years 2008 - 2010. The reported number of shares is net of 934 shares withheld by the Issuer for tax withholding purposes. |
4. Includes 3,699 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 4,000 shares 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. The reported number is net of 301 shares withheld by the Issuer for tax withholding purposes. |
5. After the transactions dated September 22, 2008 and September 23, 2008 total beneficial ownership is 35,038.7306 shares. |
6. Shares allocated to the account of Ms. Rosner under the Rockville Bank Employee Stock Ownership Plan, of which 3,673.8809 shares are vested. |
7. Stock 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 August 14, 2007 and the subsequent vesting on each annual anniversary of that date. |
8. Stock 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. |
Remarks: |
/s/ Laurie A. Rosner | 09/24/2008 | |
** 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. |