SEC Form 5 · accession 0001690001-18-000005
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew S Kowalczyk III
Director
Period of report
Dec 31, 2017
Accepted (ET)
Feb 13, 2018 · 2:33 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, 2017 | J | 64 | $0.00 | A | 3,499 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | — | Dec 31, 2017 | J | 6 | A | — | — | NBT Bancorp Inc. Common Stock | 6 | 411 | D |
Explanation of responses
- F1Shares acquired under NBT Bancorp Dividend Reinvestment Plan during period of 1/1/2017 to 12/31/2017.
- F2Each 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.