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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 18.3825 | 05/19/2004(2) | 05/19/2013 | NBT Bancorp Inc. Common Stock | 600 | 600 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 20.7492 | 05/01/2006(2) | 05/01/2015 | NBT Bancorp Inc. Common Stock | 1,500 | 1,500 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 20.7642 | 04/28/2007(3) | 04/28/2015 | NBT Bancorp Inc. Common Stock | 400 | 400 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 21.74 | 05/01/2007(2) | 05/01/2016 | NBT Bancorp Inc. Common Stock | 1,500 | 1,500 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 22.1388 | 01/01/2005(2) | 01/01/2014 | NBT Bancorp Inc. Common Stock | 1,500 | 1,500 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 22.4842 | 05/01/2008(2) | 05/01/2017 | NBT Bancorp Inc. Common Stock | 1,500 | 1,500 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 22.5508 | 05/01/2009(2) | 05/01/2018 | NBT Bancorp Inc. Common Stock | 1,750 | 1,750 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 23.2708 | 01/20/2006(2) | 01/20/2015 | NBT Bancorp Inc. Common Stock | 630 | 630 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CIVIL PATRICIA T 52 SOUTH BROAD STREET NORWICH, NY 13815 |
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By: F. Sheldon Prentice, Power of Attorney For: Patricia T. Civil | 05/09/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Received in exchange for 123 shares of Alliance Financial Corporation ("Alliance") common stock in connection with the merger of Alliance with and into the Issuer. Pursuant to the Merger Agreement, in exchange for each share of Alliance common stock the reporting person received 2.1779 shares of Issuer common stock rounded down to the nearest whole share. The closing price per share of Alliance common stock on March 8, 2013, the effective date of the Merger, was $47.49 and the closing price per share of Issuer common stock on such date was $21.80. |
(2) | Pursuant to NBT Non-Employee Director, Divisional Director and Subsidiary Director Stock Option Plan grant vests 40% for first year, 20% annually for following years. |
(3) | Pursuant to NBT Non-Employee Director, Divisional Director and Subsidiary Director Stock Option Plan reload grant vests 100% two years after date of its grant. |