SEC Form 4 · accession 0001690001-16-000001
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Wadsworth
Director
Period of report
Nov 16, 2016
Accepted (ET)
Nov 17, 2016 · 4:29 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 16, 2016 | M | 1,375 | $22.4842 | A | 15,003 | D | |
| NBT Bancorp Inc. Common Stock | Nov 16, 2016 | S | 1,375 | $38.742 | D | 13,628 | 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)F1 | $22.4842 | Nov 16, 2016 | M | 1,375 | D | May 1, 2008 | May 1, 2017 | NBT Bancorp Inc. Common Stock | 1,375 | 0 | D |
| Non-Qualified Stock Option (right to buy)F1 | $22.5508 | holding | — | — | — | May 1, 2009 | May 1, 2018 | NBT Bancorp Inc. Common Stock | 1,625 | 1,625 | D |
Explanation of responses
- F1Pursuant to NBT Non-Employee Director, Divisional Director and Subsidiary Director Stock Option Plan grant vests 40% for first year, 20% annually for following years.