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NBT BANCORP INC — Director's Dealing 2013
May 9, 2013
31610_dirs_2013-05-09_efbf4c04-2964-4b48-8406-6599c2797dc8.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: 2013-03-08
Reporting Person: CIVIL PATRICIA T (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-03-08 | NBT Bancorp Inc. Common Stock | A | 267 | — | Acquired | 12362.747 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $18.3825 | 2013-05-19 | NBT Bancorp Inc. Common Stock (600) | 600 | Direct |
| Non-Qualified Stock Option (right to buy) | $20.7492 | 2015-05-01 | NBT Bancorp Inc. Common Stock (1500) | 1500 | Direct |
| Non-Qualified Stock Option (right to buy) | $20.7642 | 2015-04-28 | NBT Bancorp Inc. Common Stock (400) | 400 | Direct |
| Non-Qualified Stock Option (right to buy) | $21.74 | 2016-05-01 | NBT Bancorp Inc. Common Stock (1500) | 1500 | Direct |
| Non-Qualified Stock Option (right to buy) | $22.1388 | 2014-01-01 | NBT Bancorp Inc. Common Stock (1500) | 1500 | Direct |
| Non-Qualified Stock Option (right to buy) | $22.4842 | 2017-05-01 | NBT Bancorp Inc. Common Stock (1500) | 1500 | Direct |
| Non-Qualified Stock Option (right to buy) | $22.5508 | 2018-05-01 | NBT Bancorp Inc. Common Stock (1750) | 1750 | Direct |
| Non-Qualified Stock Option (right to buy) | $23.2708 | 2015-01-20 | NBT Bancorp Inc. Common Stock (630) | 630 | Direct |
Footnotes
F1: 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.
F2: 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.
F3: 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.