SEC Form 5 · accession 0001611953-19-000004
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Catherine Scarlett
Officer — EVP, Chief HR & Ethics Officer
Period of report
Dec 31, 2018
Accepted (ET)
Feb 13, 2019 · 4:11 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 StockF1 | Dec 31, 2018 | J | 26 | $0.00 | A | 26 | I | 401k |
| NBT Bancorp Inc. Common StockF2 | Dec 31, 2018 | J | 8 | $0.00 | A | 8 | I | NBT Bancorp ESOP |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 54,912 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF4,F3 | — | Dec 31, 2018 | J | 276 | A | — | — | NBT Bancorp Inc. Common Stock | 276 | 7,620 | D |
Explanation of responses
- F1Shares were purchased through payroll deferral and/or dividend reinvestment from 1/1/2018 to 12/31/2018 through NBT Bancorp Inc. 401k Plan.
- F2Shares were purchased through payroll deferral and/or dividend reinvestment from 1/1/2018 to 12/31/2018 through NBT Bancorp Inc. ESOP Plan.
- F3Each share of phantom stock is deemed invested in one share of NBT Bancorp Inc. common stock pursuant to the terms of the Deferred Compensation Plan.
- F4Shares were purchased through payroll deferral and/or dividend reinvestment from 1/1/2018 to 12/31/2018 through a NBT Bancorp Inc. deferred compensation plan.