SEC Form 5 · accession 0000350852-16-000111
COMMUNITY TRUST BANCORP INC /KY/ · CTBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Gooch
Officer — Executive Vice President
Period of report
Dec 31, 2015
Accepted (ET)
Jan 13, 2016 · 5:51 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, 2015 | J | 45 | $35.62 | A | 17,937 | D | |
| Common Stock | Apr 1, 2015 | J | 115 | $33.22 | A | 18,051 | D | |
| Common Stock | Jul 1, 2015 | J | 110 | $34.97 | A | 18,161 | D | |
| Common Stock | Oct 1, 2015 | J | 115 | $34.97 | A | 18,276 | D | |
| Common StockF2 | Dec 31, 2015 | J | 818 | $0.00 | A | 14,108 | I | By ESOP |
| Common StockF3 | Dec 31, 2015 | J | 968 | $0.00 | A | 15,998 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF4,F5 | $35.409 | holding | — | — | — | Jan 23, 2008 | Jan 23, 2017 | Common Stock | 2,383 | 2,383 | D |
| OptionF4,F5 | $35.409 | holding | — | — | — | Jan 23, 2009 | Jan 23, 2017 | Common Stock | 2,383 | 4,766 | D |
| OptionF4,F5 | $35.409 | holding | — | — | — | Jan 23, 2010 | Jan 23, 2017 | Common Stock | 2,383 | 7,149 | D |
| OptionF4,F5 | $35.409 | holding | — | — | — | Jan 23, 2011 | Jan 23, 2017 | Common Stock | 2,383 | 9,532 | D |
| OptionF6,F7 | $25.745 | holding | — | — | — | Jan 29, 2013 | Jan 29, 2018 | Common Stock | 5,500 | 15,032 | D |
Explanation of responses
- F1Community Trust Bancorp, Inc. Dividend Reinvestment Plan Shares.
- F2These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. Employee Stock Ownership Plan at a price range of $33.22-$35.62 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, 2015.
- F3These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. 401(k) Plan at a price range of $33.22-$35.62 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, 2015.
- F4Right to buy pursuant to Incentive Stock Option Agreement (CTBI 2006 Stock Option Plan).
- F5Option previously reported as covering 2,166.25 shares @$38.95 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
- F6Right to buy pursuant to Non-Qualified Stock Option Agreement (CTBI 2006 Stock Ownership Incentive Plan).
- F7Option previously reported as covering 5,000 shares @$28.32 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.