Filing Details
- Accession Number:
- 0001611953-16-000127
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-07-28 16:01:51
- Reporting Period:
- 2016-07-27
- Filing Date:
- 2016-07-28
- Accepted Time:
- 2016-07-28 16:01:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 790359 | Nbt Bancorp Inc | NBTB | National Commercial Banks (6021) | 161268674 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1204704 | A Martin Dietrich | 52 South Broad Street Norwich NY 13815 | President & Ceo Nbt Bancorp | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Nbt Bancorp Inc. Common Stock | Acquisiton | 2016-07-27 | 25,000 | $20.19 | 187,815 | No | 4 | M | Direct | |
| Nbt Bancorp Inc. Common Stock | Disposition | 2016-07-27 | 25,000 | $29.78 | 162,815 | No | 4 | S | Direct | |
| Nbt Bancorp Inc. Common Stock | Acquisiton | 2016-07-27 | 25,000 | $20.36 | 187,815 | No | 4 | M | Direct | |
| Nbt Bancorp Inc. Common Stock | Disposition | 2016-07-27 | 16,985 | $29.97 | 170,830 | No | 4 | F | Direct | |
| Nbt Bancorp Inc. Common Stock | Disposition | 2016-07-27 | 4,485 | $29.97 | 166,345 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2016-07-27 | 25,000 | $29.78 | 25,000 | $20.19 |
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2016-07-27 | 25,000 | $0.00 | 25,000 | $20.36 |
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | Acquisiton | 2016-07-27 | 20,515 | $0.00 | 20,515 | $29.97 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-01-15 | 2020-01-15 | No | 4 | M | Direct |
| 0 | 2009-01-15 | 2018-01-15 | No | 4 | M | Direct |
| 20,515 | 2018-07-27 | 2026-07-27 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Nbt Bancorp Inc. Common Stock | 19,281 | Indirect | 401k |
| Nbt Bancorp Inc. Common Stock | 340 | Indirect | Custodian for Minor |
| Nbt Bancorp Inc. Common Stock | 10,732 | Indirect | NBT Bancorp ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | $25.15 | 2016-10-29 | 2024-10-29 | 20,575 | 20,575 | Direct |
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | $25.36 | 2016-10-29 | 2024-10-29 | 1,166 | 1,166 | Direct |
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | $25.38 | 2010-01-15 | 2019-01-15 | 25,000 | 25,000 | Direct |
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | $26.67 | 2017-09-14 | 2025-09-14 | 13,641 | 13,641 | Direct |
| Nbt Bancorp Inc. Common Stock | Non-Qualified Stock Option (right to buy) | $28.01 | 2018-05-12 | 2026-05-12 | 26,743 | 26,743 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-10-29 | 20,575 | 20,575 | Direct |
| 2024-10-29 | 1,166 | 1,166 | Direct |
| 2019-01-15 | 25,000 | 25,000 | Direct |
| 2025-09-14 | 13,641 | 13,641 | Direct |
| 2026-05-12 | 26,743 | 26,743 | Direct |
Footnotes
- Pursuant to NBT Bancorp Inc. Omnibus Stock Option Agreement the grant vests 40% for first year, 20% annually for following years.
- Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan grant vests 40% for first year, 20% annually for following years.
- Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan reload grant vests 100% two years after date of its grant.
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