SEC Form 5 · accession 0001611953-16-000104
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
F Sheldon Prentice
Officer — EVP,General Counsel,Sec'y
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 3:43 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 StockF1 | Dec 31, 2015 | J | 92 | $0.00 | A | 1,395 | I | 401k |
| NBT Bancorp Inc. Common StockF2 | Dec 31, 2015 | J | 15 | $0.00 | A | 466 | I | NBT Bancorp ESOP |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 23,016 | D |
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)F3 | $24.47 | holding | — | — | — | May 1, 2011 | May 1, 2020 | NBT Bancorp Inc. Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Shares were purchased from 1/1/2015 through 12/31/2015 through NBT Bancorp Inc. 401k Plan.
- F2Shares were purchased from 1/1/2015 through 12/31/2015 through NBT Bancorp Inc. ESOP Plan.
- F3Pursuant to NBT Bancorp Inc. Omnibus Stock Option Agreement the grant vests 40% for first year, 20% annually for following years.