SEC Form 5 · accession 0000350852-15-000021

· CTBI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Mark A Gooch

Officer — Executive Vice Pres./Secretary

Period of report

Dec 31, 2014

Accepted (ET)

Feb 10, 2015 · 5:57 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000350852

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Jan 2, 2014	J	27	$44.36	A	15,593	D
Common Stock	Apr 1, 2014	J	36	$42.03	A	15,629	D
Common Stock^F2	Jul 1, 2014	J	43	$35.30	A	17,234	D
Common Stock	Oct 1, 2014	J	47	$33.64	A	17,281	D
Common Stock^F3	Dec 31, 2014	J	2,082	$0.00	A	13,290	I	By ESOP
Common Stock^F4	Dec 31, 2014	J	2,123	$0.00	A	15,031	I	By 401(k)

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option^F5,F6	$29.491	holding	—	—	—	Jan 27, 2007	Jan 27, 2016	Common Stock	2,077	2,077	D
Option^F5,F6	$29.491	holding	—	—	—	Jan 27, 2008	Jan 27, 2016	Common Stock	2,077	4,154	D
Option^F5,F6	$29.491	holding	—	—	—	Jan 27, 2009	Jan 27, 2016	Common Stock	2,077	6,230	D
Option^F5,F6	$29.491	holding	—	—	—	Jan 27, 2010	Jan 27, 2016	Common Stock	2,077	8,307	D
Option^F7,F8	$35.409	holding	—	—	—	Jan 23, 2008	Jan 23, 2017	Common Stock	2,383	10,690	D
Option^F7,F8	$35.409	holding	—	—	—	Jan 23, 2009	Jan 23, 2017	Common Stock	2,383	13,073	D
Option^F7,F8	$35.409	holding	—	—	—	Jan 23, 2010	Jan 23, 2017	Common Stock	2,383	15,456	D
Option^F7,F8	$35.409	holding	—	—	—	Jan 23, 2011	Jan 23, 2017	Common Stock	2,383	17,839	D
Option^F9,F10	$25.745	holding	—	—	—	Jan 29, 2013	Jan 29, 2018	Common Stock	5,500	23,339	D

Explanation of responses

F1Community Trust Bancorp, Inc. Dividend Reinvestment Plan Shares.
F10Option previously reported as covering 5,000 shares @$28.32 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
F2On April 29, 2014, CTBI declared a 10% stock dividend payable to all holders of common stock on record date May 15, 2014, payable June 2, 2014. As a result, the reporting person received an additional 1,561.4225 shares directly.
F3These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. Employee Stock Ownership Plan at a price range of $33.64-$44.36 per share in transactions that were exempt from Section 16(b) by virtue of old rule 16a-8(b). The information reported herein is based on plan statement dated December 31, 2014.
F4These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. 401(k) Plan at a price range of $33.64-$44.36 per share in transactions that were exempt by virtue of old rule 16a-8(b) and new Rule 16b-3(d) (2). The information reported herein is based on plan statement dated December 31, 2014.
F5Right to buy pursuant to Incentive Stock Option Agreement (CTBI 1998 Stock Option Plan).
F6Option previously reported as covering 1,821 shares @$30.88 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
F7Right to buy pursuant to Incentive Stock Option Agreement (CTBI 2006 Stock Option Plan).
F8Option previously reported as covering 2,166.25 shares @$38.95 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
F9Right to buy pursuant to Non-Qualified Stock Option Agreement (CTBI 2006 Stock Ownership Incentive Plan).