SEC Form 4 · accession 0001690001-19-000007
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Stagliano
Officer — EVP President Retail Banking
Period of report
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 2:37 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 | 251 | $36.02 | D | 53,986 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 1,359 | $36.02 | D | 52,627 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 160 | $36.02 | D | 52,467 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 195 | $36.02 | D | 52,272 | D | |
| NBT Bancorp Inc. Common Stock | Jan 15, 2019 | F | 224 | $36.02 | D | 52,048 | D | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 5,360 | I | 401k | |
| NBT Bancorp Inc. Common Stock | holding | — | — | — | 1,577 | I | NBT Bancorp ESOP |
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 | 9,901 | 9,901 | 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.