SEC Form 4 · accession 0001690001-18-000018
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
Aug 30, 2018
Accepted (ET)
Aug 31, 2018 · 4:37 pm EDT
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 | Aug 30, 2018 | I | 4,110 | $40.0122 | D | 0 | I | 401k |
| NBT Bancorp Inc. Common StockF2 | Aug 30, 2018 | I | 1,258 | $40.0122 | D | 0 | 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 StockF3 | — | holding | — | — | — | — | — | NBT Bancorp Inc. Common Stock | 7,344 | 7,344 | D |
Explanation of responses
- F1Sale includes 26.258 shares purchased through dividend reinvestment in June 2018 from the NBT Bancorp Inc. 401k Plan.
- F2Sale includes 8.038 shares purchased through dividend reinvestment in June 2018 from the 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.