SEC Form 4 · accession 0001611953-16-000081
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
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 4:13 pm EST
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 | Jan 1, 2016 | F | 13,723 | $26.96 | D | 178,780 | D | |
| NBT Bancorp Inc. Common Stock | Jan 1, 2016 | F | 6,437 | $26.96 | D | 172,343 | D | |
| NBT Bancorp Inc. Common Stock | Jan 1, 2016 | F | 12,874 | $26.96 | D | 159,469 | D | |
| NBT Bancorp Inc. Common Stock | Jan 1, 2016 | F | 11,194 | $26.96 | D | 148,275 | 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 | $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)F2 | $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)F3 | $25.15 | holding | — | — | — | Oct 29, 2016 | Oct 29, 2024 | NBT Bancorp Inc. Common Stock | 20,575 | 20,575 | D |
| Non-Qualified Stock Option (right to buy)F3 | $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)F1 | $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)F2 | $25.762 | holding | — | — | — | Jan 1, 2008 | Jan 1, 2017 | NBT Bancorp Inc. Common Stock | 28,000 | 28,000 | D |
| Non-Qualified Stock Option (right to buy)F3 | $26.67 | holding | — | — | — | Sep 14, 2017 | Sep 14, 2025 | NBT Bancorp Inc. Common Stock | 13,641 | 13,641 | D |
Explanation of responses
- F1Pursuant to NBT Bancorp Inc. Omnibus Stock Option Agreement the grant vests 40% for first year, 20% annually for following years.
- F2Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan grant vests 40% for first year, 20% annually for following years.
- F3Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan reload grant vests 100% two years after date of its grant.