SEC Form 4 · accession 0001611953-15-000055
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin A Dietrich
Officer — President & CEO NBT Bancorp · Director
Period of report
Jun 29, 2015
Accepted (ET)
Jun 30, 2015 · 4:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000790359
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| NBT Bancorp Inc. Common Stock | Jun 29, 2015 | M | 6,470 | $24.4458 | A | 192,827 | D | |
| NBT Bancorp Inc. Common Stock | Jun 29, 2015 | S | 6,470 | $26.3201 | D | 186,357 | D | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 18,946 | I | 401k | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 755 | I | Custodian for Minor | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 10,732 | I | NBT Bancorp ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $24.4458 | Jun 29, 2015 | M | 6,470 | D | Aug 1, 2007 | Aug 1, 2015 | NBT Bancorp Inc. Common Stock | 6,470 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2 | $20.19 | holding | — | — | — | Jan 15, 2011 | Jan 15, 2020 | NBT Bancorp Inc. Common Stock | 25,000 | 25,000 | D |
| Non-Qualified Stock Option (right to buy)F3 | $20.3617 | holding | — | — | — | Jan 15, 2009 | Jan 15, 2018 | NBT Bancorp Inc. Common Stock | 25,000 | 25,000 | D |
| Non-Qualified Stock Option (right to buy)F1 | $20.94 | holding | — | — | — | Nov 18, 2013 | Nov 18, 2021 | NBT Bancorp Inc. Common Stock | 30,000 | 30,000 | D |
| Non-Qualified Stock Option (right to buy)F3 | $22.352 | holding | — | — | — | Jan 1, 2007 | Jan 1, 2016 | NBT Bancorp Inc. Common Stock | 30,000 | 30,000 | D |
| Non-Qualified Stock Option (right to buy)F1 | $24.5692 | holding | — | — | — | Dec 27, 2009 | Dec 27, 2017 | NBT Bancorp Inc. Common Stock | 12,641 | 12,641 | D |
| Non-Qualified Stock Option (right to buy) | $25.36 | holding | — | — | — | Oct 29, 2016 | Oct 29, 2024 | NBT Bancorp Inc. Common Stock | 1,166 | 1,166 | D |
| Non-Qualified Stock Option (right to buy)F2 | $25.38 | holding | — | — | — | Jan 15, 2010 | Jan 15, 2019 | NBT Bancorp Inc. Common Stock | 25,000 | 25,000 | D |
| Non-Qualified Stock Option (right to buy)F3 | $25.762 | holding | — | — | — | Jan 1, 2008 | Jan 1, 2017 | NBT Bancorp Inc. Common Stock | 28,000 | 28,000 | D |
Explanation of responses
- F1Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan reload grant vests 100% two years after date of its grant.
- F2Pursuant to NBT Bancorp Inc. Omnibus Stock Option Agreement the grant vests 40% for first year, 20% annually for following years.
- F3Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan grant vests 40% for first year, 20% annually for following years.