SEC Form 5 · accession 0001611953-17-000012
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Wadsworth
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 3:23 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, 2016 | J | 259 | $0.00 | A | 13,887 | D | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 164,041 | I | by Corporation |
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)F2 | $22.5508 | holding | — | — | — | May 1, 2009 | May 1, 2018 | NBT Bancorp Inc. Common Stock | 1,625 | 1,625 | D |
Explanation of responses
- F1Shares acquired under NBT Bancorp Dividend Reinvestment Plan during period of 1/1/2016 to 12/31/2016.
- F2Pursuant to NBT Non-Employee Director, Divisional Director and Subsidiary Director Stock Option Plan grant vests 40% for first year, 20% annually for following years.