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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 |
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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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
ISO - Stock Option (Right to Buy) | $ 20.125 | 12/14/2011 | M | 4,900 | 01/02/2004(3) | 12/19/2011 | Common Stock | 4,900 | $ 20.125 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nadeau Gerard F 288 UNION STREET ROCKLAND, MA 02370 |
Executive Vice President |
Jennifer M. Kingston, Power of Attorney | 12/15/2011 | |
**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 held in Filer's name f/b/o daughter. Holdings include 4.1380 shares received pursuant to the Company's Dividend Reinvestment Plan since the last Form 4 filing (2/11). Such transactions are exempt from the reporting requirements of Section 16 of the Securities and Exchange Act. The filing of this statement should not be construced as an admission that the undersigned is, for purposes of Section 16 of the Securities and Exchange Act, the beneficial owner of such securities. |
(2) | Shares held in Filer's name f/b/o son. Holdings include 4.1745 shares received pursuant to the Company's Dividend Reinvestment Plan since the last Form 4 filing (2/11). 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 Exchange Act, the beneficial owner of such securities. |
(3) | Granted under the Independent Bank Corp. 1997 Employee Stock Option Plan (1997 Plan). 1,634 shares became exercisable on 6/21/02, 1,633 shares became exercisable on 1/2/03, and the remaining 1,633 shares became exercisable on 1/2/04, subject to the earlier termination of employment or acceleration of vesting schedule under certain termination of employee circumstances. |