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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 | |||||||||
Option (5) | $ 29.491 (6) | Â | Â | Â | Â | Â | 01/27/2007 | 01/27/2016 | Common Stock | Â | 2,076.75 | Â | ||
Option (5) | $ 29.491 (6) | Â | Â | Â | Â | Â | 01/27/2008 | 01/27/2016 | Common Stock | Â | 4,153.5 | Â | ||
Option (5) | $ 29.491 (6) | Â | Â | Â | Â | Â | 01/27/2009 | 01/27/2016 | Common Stock | Â | 6,230.25 | Â | ||
Option (5) | $ 29.491 (6) | Â | Â | Â | Â | Â | 01/27/2010 | 01/27/2016 | Common Stock | Â | 8,307 | Â | ||
Option (7) | $ 35.409 (8) | Â | Â | Â | Â | Â | 01/23/2008 | 01/23/2017 | Common Stock | Â | 10,690 | Â | ||
Option (7) | $ 35.409 (8) | Â | Â | Â | Â | Â | 01/23/2009 | 01/23/2017 | Common Stock | Â | 13,073 | Â | ||
Option (7) | $ 35.409 (8) | Â | Â | Â | Â | Â | 01/23/2010 | 01/23/2017 | Common Stock | Â | 15,456 | Â | ||
Option (7) | $ 35.409 (8) | Â | Â | Â | Â | Â | 01/23/2011 | 01/23/2017 | Common Stock | Â | 17,839 | Â | ||
Option (9) | $ 25.745 (10) | Â | Â | Â | Â | Â | 01/29/2013 | 01/29/2018 | Common Stock | Â | 23,339 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GOOCH MARK A PO BOX 2947 PIKEVILLE, KY 41502-2947 |
 |  |  Executive Vice Pres./Secretary |  |
Mark A. Gooch By: Marilyn T. Justice, Attorney-in-Fact | 02/10/2015 | |
**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) | Community Trust Bancorp, Inc. Dividend Reinvestment Plan Shares. |
(2) | On April 29, 2014, CTBI declared a 10% stock dividend payable to all holders of common stock on record date May 15, 2014, payable June 2, 2014. As a result, the reporting person received an additional 1,561.4225 shares directly. |
(3) | These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. Employee Stock Ownership Plan at a price range of $33.64-$44.36 per share in transactions that were exempt from Section 16(b) by virtue of old rule 16a-8(b). The information reported herein is based on plan statement dated December 31, 2014. |
(4) | These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. 401(k) Plan at a price range of $33.64-$44.36 per share in transactions that were exempt by virtue of old rule 16a-8(b) and new Rule 16b-3(d) (2). The information reported herein is based on plan statement dated December 31, 2014. |
(5) | Right to buy pursuant to Incentive Stock Option Agreement (CTBI 1998 Stock Option Plan). |
(6) | Option previously reported as covering 1,821 shares @$30.88 per share, adjusted to reflect the 10% stock dividend effective 06/02/14. |
(7) | Right to buy pursuant to Incentive Stock Option Agreement (CTBI 2006 Stock Option Plan). |
(8) | Option previously reported as covering 2,166.25 shares @$38.95 per share, adjusted to reflect the 10% stock dividend effective 06/02/14. |
(9) | Right to buy pursuant to Non-Qualified Stock Option Agreement (CTBI 2006 Stock Ownership Incentive Plan). |
(10) | Option previously reported as covering 5,000 shares @$28.32 per share, adjusted to reflect the 10% stock dividend effective 06/02/14. |