SEC Form 4 · accession 0001611953-16-000130
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
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 3:11 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 | Nov 14, 2016 | M | 20,575 | $25.15 | A | 186,920 | D | |
| NBT Bancorp Inc. Common Stock | Nov 14, 2016 | S | 20,575 | $40.1988 | D | 166,345 | D | |
| NBT Bancorp Inc. Common Stock | Nov 14, 2016 | M | 1,166 | $25.36 | A | 167,511 | D | |
| NBT Bancorp Inc. Common Stock | Nov 14, 2016 | S | 1,166 | $40.1988 | D | 166,345 | D | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 19,281 | I | 401k | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 340 | 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 | $25.15 | Nov 14, 2016 | M | 20,575 | D | Oct 29, 2016 | Oct 29, 2024 | NBT Bancorp Inc. Common Stock | 20,575 | 0 | D |
| Non-Qualified Stock Option (right to buy)F1 | $25.36 | Nov 14, 2016 | M | 1,166 | D | Oct 29, 2016 | Oct 29, 2024 | NBT Bancorp Inc. Common Stock | 1,166 | 0 | D |
| Non-Qualified Stock Option (right to buy)F1 | $26.67 | holding | — | — | — | Sep 14, 2017 | Sep 14, 2025 | NBT Bancorp Inc. Common Stock | 13,641 | 13,641 | D |
| Non-Qualified Stock Option (right to buy)F1 | $28.01 | holding | — | — | — | May 12, 2018 | May 12, 2026 | NBT Bancorp Inc. Common Stock | 26,743 | 26,743 | D |
| Non-Qualified Stock Option (right to buy)F1 | $29.97 | holding | — | — | — | Jul 27, 2018 | Jul 27, 2026 | NBT Bancorp Inc. Common Stock | 20,515 | 20,515 | D |
Explanation of responses
- F1Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan reload grant vests 100% two years after date of its grant.