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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Non-Qualified Stock Option (right to buy) | $ 20.19 | Â | Â | Â | Â | Â | 01/15/2011(3) | 01/15/2020 | NBT Bancorp Inc. Common Stock | Â | 18,000 | Â | ||
Non-Qualified Stock Option (right to buy) | $ 20.3617 | Â | Â | Â | Â | Â | 01/15/2009(4) | 01/15/2018 | NBT Bancorp Inc. Common Stock | Â | 17,000 | Â | ||
Non-Qualified Stock Option (right to buy) | $ 22.352 | Â | Â | Â | Â | Â | 01/01/2007(4) | 01/01/2016 | NBT Bancorp Inc. Common Stock | Â | 20,000 | Â | ||
Non-Qualified Stock Option (right to buy) | $ 23.2708 | Â | Â | Â | Â | Â | 01/20/2006(4) | 01/20/2015 | NBT Bancorp Inc. Common Stock | Â | 16,289 | Â | ||
Non-Qualified Stock Option (right to buy) | $ 25.38 | Â | Â | Â | Â | Â | 01/15/2010(3) | 01/15/2019 | NBT Bancorp Inc. Common Stock | Â | 18,000 | Â | ||
Non-Qualified Stock Option (right to buy) | $ 25.762 | Â | Â | Â | Â | Â | 01/01/2008(4) | 01/01/2017 | NBT Bancorp Inc. Common Stock | Â | 19,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RAVEN DAVID E 52 SOUTH BROAD STREET NORWICH, NY 13815 |
 |  |  President of Retail Banking |  |
By: F. Sheldon Prentice, Power of Attorney For: David E. Raven | 02/12/2014 | |
**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) | Shares were purchased from 1/1/2013 through 12/31/2013 through NBT Bancorp Inc. 401k Plan. |
(2) | Shares were purchased from 1/1/2013 through 12/31/2013 through NBT Bancorp Inc. ESOP Plan. |
(3) | Pursuant to NBT Bancorp Inc. Omnibus Stock Option Agreement the grant vests 40% for first year, 20% annually for following years. |
(4) | Pursuant to NBT Bancorp Inc. 1993 Stock Option Plan grant vests 40% for first year, 20% annually for following years. |