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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPURR JOHN H JR C/O INDEPENDENT BANK CORP. 288 UNION STREET ROCKLAND, MA 02370 |
X |
/s/ Sarah E. Hutchings, Power of Attorney for John H. Spurr Jr. | 05/23/2016 | |
**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) | Independent Bank Corp. awarded restricted stock to reporting person per the Independent Bank Corp. 2010 Non-Employee Director Stock Plan in a transaction exempt pursuant to Rule 16b-3(d). Shares are scheduled to vest on the fifth anniversary of the date of the grant. |
(2) | Shares held i/n/o A. W. Perry Security Corporation. Filer is President of this Corporation. The filing of this statement should not be construed as an admission that the undersigned is, for purposes of Section 16 of the Exchange Act, the beneficial owner of such securities. |
(3) | The filing of this statement should not be construed as an admission that the undersigned is, for purposes of Section 16 of the Exchange Act, the beneficial owner of such securities. |
(4) | Shares held in name of John H. Spurr, Jr. Trust on which the Filer is a Trustee and Life Beneficiary. |
(5) | Trust shares represented by: 2,415 shares held i/n/o Elizabeth P. Spurr 1972 Trust f/b/o Filer, who is co-trustee and income beneficiary of Trust; 2,415 shares held i/n/o Elizabeth P. Spurr 1972 Trust f/b/o Filer's sister. Filer is co-trustee of trust. |
(6) | Shares held i/n/o of Kay Spurr Trust, over which the Filer may be deemed to possess voting or investment control. The filing of this statement should not be construed as an admission that the undersigned is, for purposes of the Exchange Act, the beneficial owner of such securities. |