SEC Form 5 · accession 0000350852-15-000033
COMMUNITY TRUST BANCORP INC /KY/ · CTBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J Stumbo
Officer — EVP, CFO, & Treasurer
Period of report
Dec 31, 2014
Accepted (ET)
Feb 12, 2015 · 5:59 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 StockF1 | Dec 31, 2014 | J | 1,036 | $0.00 | A | 6,541 | I | By ESOP |
| Common StockF2 | Dec 31, 2014 | J | 1,219 | $0.00 | A | 9,042 | I | By 401(k) |
| Common Stock | holding | — | — | — | 6,112 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF3,F4 | $29.491 | holding | — | — | — | Jan 27, 2008 | Jan 27, 2016 | Common Stock | 1,144 | 1,144 | D |
| OptionF3,F4 | $29.491 | holding | — | — | — | Jan 27, 2009 | Jan 27, 2016 | Common Stock | 1,144 | 2,289 | D |
| OptionF3,F4 | $29.491 | holding | — | — | — | Jan 27, 2010 | Jan 27, 2016 | Common Stock | 1,144 | 3,433 | D |
| OptionF5,F6 | $35.409 | holding | — | — | — | Jan 23, 2008 | Jan 23, 2017 | Common Stock | 1,324 | 4,757 | D |
| OptionF5,F6 | $35.409 | holding | — | — | — | Jan 23, 2009 | Jan 23, 2017 | Commmon Stock | 1,324 | 6,081 | D |
| OptionF5,F6 | $35.409 | holding | — | — | — | Jan 23, 2010 | Jan 23, 2017 | Common Stock | 1,324 | 7,404 | D |
| OptionF5,F6 | $35.409 | holding | — | — | — | Jan 23, 2011 | Jan 23, 2017 | Common Stock | 1,324 | 8,728 | D |
Explanation of responses
- F1These 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.
- F2These 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.
- F3Right to buy pursuant to Incentive Stock Option Agreement (CTBI 1998 Stock Option Plan).
- F4Option previously reported as covering 1,040.25 shares @$32.44 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
- F5Right to buy pursuant to Incentive Stock Option Agreement (CTBI 2006 Stock Option Plan).
- F6Option previously reported as covering 1,203.50 shares @$38.95 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.