SEC Form 4 · accession 0001611953-17-000009
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin A Dietrich
Director
Period of report
Feb 3, 2017
Accepted (ET)
Feb 6, 2017 · 2:08 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 | Feb 3, 2017 | M | 20,515 | $29.97 | A | 143,566 | D | |
| NBT Bancorp Inc. Common Stock | Feb 3, 2017 | S | 20,515 | $40.4047 | D | 123,051 | D | |
| NBT Bancorp Inc. Common StockF1 | Feb 3, 2017 | A | 155 | $0.00 | A | 123,206 | 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) | $29.97 | Feb 3, 2017 | M | 20,515 | D | Jan 31, 2017 | Jul 27, 2026 | NBT Bancorp Inc. Common Stock | 20,515 | 0 | D |
| Non-Qualified Stock Option (right to buy) | $28.01 | holding | — | — | — | Jan 31, 2017 | May 12, 2026 | NBT Bancorp Inc. Common Stock | 26,743 | 26,743 | D |
Explanation of responses
- F1Acquired pursuant to the NBT Bancorp Inc. 2008 Omnibus Incentive Plan. Each outside director is entitled to receive an annual retainer for Board service in the form of restricted stock units of the Company's common stock that vests in three annual installments.