SEC Form 4 · accession 0001690001-19-000001
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
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 1:53 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 | Jan 15, 2019 | F | 176 | $36.02 | D | 54,736 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 347 | $36.02 | D | 54,389 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 112 | $36.02 | D | 54,277 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 134 | $36.02 | D | 54,143 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 184 | $36.02 | D | 53,959 | 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 | — | holding | — | — | — | — | — | NBT Bancorp Inc. Common Stock | 7,344 | 7,344 | D |
Explanation of responses
- F1Each 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.