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NBT BANCORP INC — Director's Dealing 2013
Oct 30, 2013
31610_dirs_2013-10-30_93f73b06-42d7-4510-ba3d-3b7171a20741.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NBT BANCORP INC (NBTB)
CIK: 0000790359
Period of Report: 2013-10-28
Reporting Person: RAVEN DAVID E (President of Retail Banking)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-10-28 | NBT Bancorp Inc. Common Stock | M | 813 | $22.1715 | Acquired | 47699.032 | Direct |
| 2013-10-28 | NBT Bancorp Inc. Common Stock | S | 813 | $24.25 | Disposed | 46886.032 | Direct |
| 2013-10-29 | NBT Bancorp Inc. Common Stock | M | 15018 | $22.1715 | Acquired | 61904.032 | Direct |
| 2013-10-29 | NBT Bancorp Inc. Common Stock | S | 15018 | $24.25 | Disposed | 46886.032 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-10-28 | Non-Qualified Stock Option (right to buy) | $22.1715 | M | 813 | Disposed | 2014-01-01 | NBT Bancorp Inc. Common Stock (813) | Direct |
| 2013-10-29 | Non-Qualified Stock Option (right to buy) | $22.1715 | M | 15018 | Disposed | 2014-01-01 | NBT Bancorp Inc. Common Stock (15018) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| NBT Bancorp Inc. Common Stock | 21013.4739 | Indirect |
| NBT Bancorp Inc. Common Stock | 2989.7107 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $20.19 | 2020-01-15 | NBT Bancorp Inc. Common Stock (18000) | 18000 | Direct |
| Non-Qualified Stock Option (right to buy) | $20.3617 | 2018-01-15 | NBT Bancorp Inc. Common Stock (17000) | 17000 | Direct |
| Non-Qualified Stock Option (right to buy) | $22.352 | 2016-01-01 | NBT Bancorp Inc. Common Stock (20000) | 20000 | Direct |
| Non-Qualified Stock Option (right to buy) | $23.2708 | 2015-01-20 | NBT Bancorp Inc. Common Stock (16289) | 16289 | Direct |
| Non-Qualified Stock Option (right to buy) | $25.38 | 2019-01-15 | NBT Bancorp Inc. Common Stock (18000) | 18000 | Direct |
| Non-Qualified Stock Option (right to buy) | $25.762 | 2017-01-01 | NBT Bancorp Inc. Common Stock (19000) | 19000 | Direct |
Footnotes
F1: Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan grant vests 40% for first year, 20% annually for following years.
F2: Pursuant to NBT Bancorp Inc. Omnibus Stock Option Agreement the grant vests 40% for first year, 20% annually for following years.
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