UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
NQ - Stock Option (Right to Buy) | 02/15/2007(1) | 02/15/2017 | Common Stock | 4,000 | $ 32.995 | D | Â |
NQ - Stock Option (Right to Buy) | 12/15/2005(2) | 12/09/2014 | Common Stock | 3,333 | $ 34.18 | D | Â |
NQ - Stock Option (Right to Buy) | 06/09/2005(2) | 12/09/2014 | Common Stock | 682 | $ 34.18 | D | Â |
NQ - Stock Option (Right to Buy) | 02/14/2009(3) | 02/14/2018 | Common Stock | 4,500 | $ 28.27 | D | Â |
NQ - Stock Option (Right to Buy) | 01/02/2012(4) | 02/10/2021 | Common Stock | 2,500 | $ 27.575 | D | Â |
ISO - Stock Option (Right to Buy) | 06/09/2005(2) | 12/09/2014 | Common Stock | 985 | $ 34.18 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cozzone Robert D 288 UNION STREET ROCKLAND, MA 02370 |
 |  |  CFO and Treasurer |  |
Linda M. Campion, Power of Attorney | 09/12/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Granted under the Independent Bank Corp. 2005 Employee Stock Option Plan (2005 Plan). Options vest in equal installments of 800 shares over a five-year period beginning on 2/15/08 and thereafter on each successive anniversary date (2/15/09-2/15/12), subject to the earlier termination of employment or acceleration of vesting schedule under certain termination of employee circumstances. |
(2) | Granted under the Independent Bank Corp. 1997 Employee Stock Option Plan (1997 Plan). The Option immediately vests. Subject to the earlier termination of employment or acceleration of vesting schedule under certain termination of employee circumstances. |
(3) | Granted under the Independent Bank Corp. 2005 Employee Stock Option Plan (2005 Plan). Options vest in equal installments of 1,200 shares over a five-year period beginning on 2/14/09 and thereafter on each successive anniversary date (2/14/10-2/14/13), subject to the earlier termination of employment or acceleration of vesting schedule under certain termination of employee circumstances. |
(4) | Granted under the Independent Bank Corp. 2005 Employee Stock Option Plan (2005 Plan). 834 shares shall first become exercisable on 1/2/12; 833 shares shall first become on 1/02/13, and the remaining 833 shares shall first become exercisable on 1/2/14, subject to the earlier termination of employment or acceleration of vesting schedule under certain termination of employee circumstances. |
 Remarks: Note: Also see attached Exhibit EX-24 Attachment 0. |