|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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 1474 (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 Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 27.685 | 04/23/2014(6) | M | 1,000 (7) (8) | 10/27/2004 | 04/27/2014 | Common Stock | 1,000 | $ 27.685 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JONES KEVIN J 288 UNION STREET ROCKLAND, MA 02370 |
X |
Linda M. Campion, Power of Attorney for Kevin J. Jones | 04/25/2014 | |
**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 acquired as a result of participation in the Independent Bank Corp. Directors Deferred Compensation Program. |
(2) | Holdings include 269.5888 shares acquired as a result of participation in the 2010 Independent Bank Corp. Dividend Reinvestment and Stock Purchase Plan since the last Form 4 filing (1/14). Such transactions are exempt from the reporting requirements of Section 16 of the Securities and Exchange Act of 1934, as amended. |
(3) | Holdings include 61.0918 shares acquired as a result of participation in the 2010 Independent Bank Corp. Dividend Reinvestment and Stock Purchase Plan since the last Form 4 filing (1/14). Such transactions are exempt from the reporting requirements of Section 16 of the Securities and Exchange Act of 1934, as amended. The filing of this statement should not be construed as an admission that the undersigned is, for purposes of Section 16 of the Securities and Act of 1934, as amended, the beneficial owner of such securities. |
(4) | Shares carried under the name of Filers three sons as follows: 10,000 shares held i/n/o Kevin J. Jones and Frances Jones, Trustees, Brian Jones Irrevocable Trust, 10,000 shares held i/n/o Kevin J. Jones and Frances Jones, Trustees, Mark Jones Irrevocable Trust, and 10,000 shares held i/n/o Kevin J. Jones and Frances Jones, Trustees, Sean Jones Irrevocable TrustThe filing of this statement should not be construed as an admission that the undersigned is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the beneficial owner of such securities held by Trusts. |
(5) | The filing of this statement should not be construed as an admission that the undersigned is, for purposes of Section 16 of the Securities and Act of 1934, as amended, the beneficial owner of such securities. |
(6) | Form 4 is being amended to report that the transaction date for the stock option exercise was April 23, 2014 and not April 22, 2014. |
(7) | Non-Employee Director, Non-Qualified Common Stock Options expire 10 years from the grant date unless earlier terminated by reason of cessation as non-employee director. |
(8) | Form is being amended to show that the options were disposed of not acquired |