SEC Form 5 · accession 0000350852-16-000113
COMMUNITY TRUST BANCORP INC /KY/ · CTBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Andrew Jones
Officer — Executive Vice President
Period of report
Dec 31, 2015
Accepted (ET)
Jan 14, 2016 · 2:09 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 | 4 | $35.62 | A | 2,997 | D | |
| Common Stock | Apr 1, 2015 | J | 6 | $33.22 | A | 3,003 | D | |
| Common Stock | Jul 1, 2015 | J | 6 | $34.97 | A | 3,009 | D | |
| Common Stock | Oct 1, 2015 | J | 6 | $34.97 | A | 3,014 | D | |
| Common StockF2 | Dec 31, 2015 | J | 568 | $0.00 | A | 7,126 | I | By ESOP |
| Common StockF3 | Dec 31, 2015 | J | 137 | $0.00 | A | 1,940 | 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 | $27.109 | holding | — | — | — | Jan 27, 2010 | Jan 27, 2019 | Common Stock | 69 | 69 | D |
| OptionF4,F5 | $27.109 | holding | — | — | — | Jan 27, 2011 | Jan 27, 2019 | Common Stock | 69 | 138 | D |
| OptionF4,F5 | $27.109 | holding | — | — | — | Jan 27, 2012 | Jan 27, 2019 | Common Stock | 69 | 206 | D |
| OptionF4,F5 | $27.109 | holding | — | — | — | Jan 27, 2013 | Jan 27, 2019 | Common Stock | 69 | 275 | D |
| OptionF4,F6 | $22.809 | holding | — | — | — | Jan 26, 2011 | Jan 26, 2020 | Common Stock | 103 | 378 | D |
| OptionF4,F6 | $22.809 | holding | — | — | — | Jan 26, 2012 | Jan 26, 2020 | Common Stock | 103 | 482 | D |
| OptionF4,F6 | $22.809 | holding | — | — | — | Jan 26, 2013 | Jan 26, 2020 | Common Stock | 103 | 585 | D |
| OptionF4,F6 | $22.809 | holding | — | — | — | Jan 26, 2014 | Jan 26, 2020 | Common Stock | 103 | 688 | D |
| OptionF7 | $32.27 | holding | — | — | — | Jan 27, 2020 | Jan 27, 2025 | Common Stock | 10,000 | 10,688 | 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 62.50 shares @$29.82 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
- F6Option previously reported as covering 93.75 shares @$25.09 per share, adjusted to reflect the 10% stock dividend effective 06/02/14.
- F7Right to buy pursuant to Non-Qualified Stock Option Agreement (CTBI 2006 Stock Ownership Incentive Plan).