SEC Form 4 · accession 0000350852-15-000103
COMMUNITY TRUST BANCORP INC /KY/ · CTBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jean R Hale
Officer — Chair, President & CEO · Director
Period of report
Nov 6, 2015
Accepted (ET)
Nov 9, 2015 · 2:30 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 | Nov 6, 2015 | M | 10,850 | $29.491 | A | 134,337 | D | |
| Common Stock | Nov 6, 2015 | S | 2 | $35.56 | D | 134,335 | D | |
| Common Stock | Nov 6, 2015 | S | 200 | $35.54 | D | 134,135 | D | |
| Common Stock | Nov 6, 2015 | S | 2 | $35.52 | D | 134,133 | D | |
| Common Stock | Nov 6, 2015 | S | 34 | $35.47 | D | 134,099 | D | |
| Common Stock | Nov 6, 2015 | S | 200 | $35.41 | D | 133,899 | D | |
| Common Stock | Nov 6, 2015 | S | 1,200 | $35.40 | D | 132,699 | D | |
| Common Stock | Nov 6, 2015 | S | 400 | $35.66 | D | 132,299 | D | |
| Common Stock | Nov 6, 2015 | S | 400 | $35.33 | D | 131,899 | D | |
| Common Stock | Nov 6, 2015 | S | 100 | $35.34 | D | 131,799 | D | |
| Common Stock | Nov 6, 2015 | S | 100 | $35.25 | D | 131,699 | D | |
| Common Stock | Nov 6, 2015 | S | 200 | $35.385 | D | 131,499 | D | |
| Common Stock | Nov 6, 2015 | S | 100 | $35.12 | D | 131,399 | D | |
| Common Stock | Nov 6, 2015 | S | 300 | $35.17 | D | 131,099 | D | |
| Common Stock | Nov 6, 2015 | S | 100 | $35.13 | D | 130,999 | D | |
| Common Stock | Nov 6, 2015 | S | 500 | $35.56 | D | 130,499 | D | |
| Common Stock | Nov 6, 2015 | S | 100 | $35.54 | D | 130,399 | D | |
| Common Stock | Nov 6, 2015 | S | 400 | $35.52 | D | 129,999 | D | |
| Common Stock | Nov 6, 2015 | S | 300 | $35.47 | D | 129,699 | D | |
| Common Stock | Nov 6, 2015 | S | 6,212 | $35.41 | D | 123,487 | D | |
| Common Stock | holding | — | — | — | 20,573 | I | By: ESOP | |
| Common Stock | holding | — | — | — | 69,005 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF1,F2 | $29.491 | Nov 6, 2015 | M | 2,713 | D | Jan 27, 2007 | Jan 27, 2016 | Common Stock | 2,713 | 0 | D |
| OptionF1,F2 | $29.491 | Nov 6, 2015 | M | 2,713 | D | Jan 27, 2008 | Jan 27, 2016 | Common Stock | 2,713 | 0 | D |
| OptionF1,F2 | $29.491 | Nov 6, 2015 | M | 2,713 | D | Jan 27, 2009 | Jan 27, 2016 | Common Stock | 2,713 | 0 | D |
| OptionF1,F2 | $29.491 | Nov 6, 2015 | M | 2,713 | D | Jan 27, 2010 | Jan 27, 2016 | Common Stock | 2,713 | 0 | D |
| OptionF3,F4 | $35.409 | holding | — | — | — | Jan 23, 2008 | Jan 23, 2017 | Common Stock | 3,107 | 3,107 | D |
| OptionF3,F4 | $35.409 | holding | — | — | — | Jan 23, 2009 | Jan 23, 2017 | Common Stock | 3,107 | 6,214 | D |
| OptionF3,F4 | $35.409 | holding | — | — | — | Jan 23, 2010 | Jan 23, 2017 | Common Stock | 3,107 | 9,320 | D |
| OptionF3,F4 | $35.409 | holding | — | — | — | Jan 23, 2011 | Jan 23, 2017 | Common Stock | 3,107 | 12,427 | D |
| OptionF5,F6 | $25.745 | holding | — | — | — | Jan 29, 2013 | Jan 29, 2018 | Common Stock | 6,875 | 19,302 | D |
Explanation of responses
- F1Right to buy pursuant to Incentive Stock Option Agreement (CTBI 1998 Stock Option Plan).
- F2Option previously reported as covering 2,466 shares @$32.44 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
- F3Right to buy pursuant to Incentive Stock Option Agreement (CTBI 2006 Stock Option Plan).
- F4Option previously reported as covering 2,824.25shares @$38.95 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
- F5Right to buy pursuant to Non-Qualified Stock Option Agreement (CTBI 2006 Stock Ownership Incentive Plan).
- F6Option previously reported as covering 6,250 shares @$28.32 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.