SEC Form 5 · accession 0000350852-16-000112
COMMUNITY TRUST BANCORP INC /KY/ · CTBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jean R Hale
Officer — Chairman, President & CEO · Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 14, 2016 · 1:15 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 29, 2015 | G | 100 | $0.00 | D | 123,587 | D | |
| Common Stock | Jul 9, 2015 | G | 100 | $0.00 | D | 123,487 | D | |
| Common StockF1 | Dec 31, 2015 | J | 1,041 | $0.00 | A | 20,573 | I | By ESOP |
| Common StockF2 | Dec 31, 2015 | J | 3,316 | $0.00 | A | 69,141 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 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
- F1These 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.
- F2These 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.
- 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.