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Filing Details

Accession Number:: 0001209191-13-037039
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-07-17 17:18:07
Reporting Period:: 2013-07-15

Filing Date:: 2013-07-17
Accepted Time:: 2013-07-17 17:18:07
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1501364	Rockville Financial Inc.	RCKB	Savings Institutions, Not Federally Chartered (6036)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1313367	A Laurie Rosner	Rockville Financial Inc 45 Glastonbury Boulevard Glastonbury CT 06033		No	No	No	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2013-07-15	8,068	$11.72	8,068	No	4	M	Direct
Common Stock	Disposition	2013-07-15	8,068	$13.42	0	No	4	S	Direct
Common Stock	Acquisiton	2013-07-16	1,790	$11.72	1,790	No	4	M	Direct
Common Stock	Acquisiton	2013-07-16	609	$10.99	2,399	No	4	M	Direct
Common Stock	Disposition	2013-07-16	2,399	$13.40	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Options	Disposition	2013-07-15	8,068	$0.00	9,858	$11.72
Common Stock	Stock Option	Disposition	2013-07-16	1,790	$0.00	1,790	$11.72
Common Stock	Stock Options	Disposition	2013-07-16	609	$0.00	748	$10.99

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,790	2008-12-13	2013-08-19	No	4	X	Direct
0	2008-12-13	2013-08-19	No	4	X	Direct
139	2012-06-21	2013-08-19	No	4	X	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	23,294	Direct
Common Stock	29,683	Indirect	By Rockville Bank 401(k) Plan
Common Stock	9,814	Indirect	Held by husband
Common Stock	15,031	Indirect	By Rockville Bank ESOP Plan
Common Stock	3,505	Indirect	By IRA - Husband
Common Stock	160	Indirect	IRA

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Options	$9.46	2007-08-14	2013-08-19	9,858	9,858	Direct
Common Stock	Stock Options	$7.90	2008-02-20	2013-08-19	9,858	9,858	Direct
Common Stock	Stock Options	$6.09	2009-03-16	2013-08-19	8,493	8,493	Direct
Common Stock	Stock Options	$7.42	2010-11-15	2013-08-19	3,113	3,113	Direct
Common Stock	Stock Options	$9.50	2011-09-02	2013-08-19	2,726	2,726	Direct
Common Stock	Stock Options	$10.99	2012-06-21	2013-08-19	2,635	2,635	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2013-08-19	9,858	9,858	Direct
2013-08-19	9,858	9,858	Direct
2013-08-19	8,493	8,493	Direct
2013-08-19	3,113	3,113	Direct
2013-08-19	2,726	2,726	Direct
2013-08-19	2,635	2,635	Direct

Footnotes

Includes 5,120 shares held jointly with husband.
Includes 5,972 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 6,000 shares (x 1.5167 exchange ratio became 9,100 shares) will became vested in equal 20% increments over a five year period, with the first 20% vesting on December 6, 2006 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 3,128 shares (2,062 shares x 1.5167 exchange ratio became 3,128 shares in March 2011).
Includes 1,420 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 1,500 shares (x 1.5167 exchange ratio became 2,275 shares) will become vested in equal 20% increments over a five year period, with the first 20% vesting on March 16, 2009 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 855 shares (226 shares x 1.5167 exchange ratio became 342 shares in March 2011, plus 513 shares since that time) withheld by the Issuer for tax withholding purposes.
Includes 1,838 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 1,500 shares (x 1.5167 exchange ratio became 2,275 shares vest in equal 20% increments over a five year period, the first 20% vesting on November 15, 2010 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 284 shares (77 shares x 1.5167 exchange ratio became 116 shares in March 2011, plus 321 shares since that time) withheld by the Issuer for tax withholding purposes.
Includes 1,140 restricted shares granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 1,344 shares vest in equal 20% increments over a five year period, the first 20% vesting on September 2, 2011 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 204 shares withheld by the Issuer for tax withholding purposes.
Includes 3,601 restricted shares granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan. The original grant of 3,933 shares vest in four equal annual installments of 25%, the first 25% vesting on June 21, 2012 and the subsequent vesting on each annual anniversary of the grant date thereafter. The reported number of shares is net of 332 shares withheld by the Issuer for tax withholding purposes.
Includes 3,807 restricted stock granted pursuant to the Rockville Financial, Inc. 2006 Stock Incentive Award Plan. The original grant of 4,000 shares (x 1.5167 exchange ratio became 6,066 shares) will become vested in equal 20% increments over a five year period, with the first 20% vesting on February 20, 2008 and the subsequent vesting on each annual anniversary of that date. The reported number of shares is net of 2,259 shares (1,188 shares x 1.5167 exchange ratio became 1,801 shares in March 2011, plus 458 shares since that time) withheld by the Issuer for tax withholding purposes.
This transaction represents the forfeiture of 4,666 unvested restricted shares following Ms. Rosner's termination of employment on 5/21/2013; 1,716 Restricted shares from the 2006 Stock Incentive Award Plan and the remaining 2,950 Restricted shares from the 2012 Stock Incentive Plan.
Shares allocated to the account of Ms. Rosner under the Rockville Bank Employee Stock Ownership Plan, of which all shares are vested.
The price included in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.40 to $13.47 per share, inclusive. The reporting person undertakes to provide to Rockville Financial, Inc. or any of its security holders, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 10.
The expiration date has been amended to 90 days from Ms. Rosner's termination date of May 21, 2013 in accordance with the 2006 Stock Incentive Award Plan.
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.
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.
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 March 16, 2009 and the subsequent vesting on each annual anniversary of that date.
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 November 15, 2010 and the subsequent vesting on each annual anniversary of that date.
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 September 2, 2011 and the subsequent vesting on each annual anniversary of that date.
Stock 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 20% becoming exercisable on June 21, 2012 and the subsequent vesting on each annual anniversary of the grant date thereafter.
Stock options granted pursuant to the Rockville Financial, Inc.'s 2012 Stock Incentive Plan and will become exercisable in four equal annual installments of 25%, with the first 25% becoming exercisable on June 21, 2012 and the subsequent vesting on each annual anniversary of the grant date thereafter.
The expiration date has been amended to 90 days from Ms. Rosner's termination date of May 21, 2013 in accordance with the 2012 Stock Incentive Plan.