FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/17/2008 |
3. Issuer Name and Ticker or Trading Symbol
INDEPENDENT BANK CORP [ INDB ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 917.532 | I | 401(K) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Incentive Stock Option (right to buy) | 06/22/2001(1) | 12/20/2010 | Common Stock | 4,050 | $11.9063 | D | |
Incentive Stock Option (right to buy) | 06/21/2002(2) | 12/19/2011 | Common Stock | 4,725 | $20.125 | D | |
Incentive Stock Option (right to buy) | 06/20/2003(3) | 12/19/2012 | Common Stock | 4,600 | $23.47 | D | |
Incentive Stock Option (right to buy) | 06/11/2004(4) | 12/11/2013 | Common Stock | 3,538 | $30.14 | D | |
Incentive Stock Option (right to buy) | 12/15/2005(5) | 12/09/2014 | Common Stock | 785 | $34.18 | D | |
Non-Qualified Stock Option (right to buy) | 02/14/2008(6) | 02/14/2018 | Common Stock | 6,000 | $28.27 | D | |
Non-Qualified Stock Option (right to buy) | 12/15/2005(7) | 12/14/2012 | Common Stock | 5,000 | $28.895 | D | |
Non-Qualified Stock Option (right to buy) | 06/11/2004(4) | 12/11/2013 | Common Stock | 162 | $30.14 | D | |
Non-Qualified Stock Option (right to buy) | 02/15/2008(8) | 02/15/2017 | Common Stock | 4,000 | $32.995 | D | |
Non-Qualified Stock Option (right to buy) | 12/15/2005(5) | 12/09/2014 | Common Stock | 4,215 | $34.18 | D |
Explanation of Responses: |
1. Granted under the Independent Bank Corp. 1997 Employee Stock Option Plan ("1997 Plan"). 1,350 shares shall first become exercisable on 6/22/01, 1,350 shares shall first become exercisable on 1/20/02, and the remaining 1,350 shares shall first become exercisable on 1/2/03. The Option will expire on 12/20/10 unless earlier terminated in accordance with the Stock Option Agreement. |
2. Granted under the 1997 Plan. 1,575 shares shall first become exercisable on 6/21/02, 1,575 shares shall first become exercisable on 1/2/03 and the remaining 1,575 shares shall first become exercisable on 1/2/04, unless earlier terminated in accordance with the Stock Option Agreement. |
3. Granted under the 1997 Plan. 1,534 shares shall first become exercisable on 6/20/03, 1,533 shares shall first become exercisable on 1/2/04, and the remaining 1,533 shares shall first become exercisable on 1/2/05 unless earlier terminated in accordance with the Stock Option Agreement. |
4. Granted under the 1997 Plan. 1,234 shares shall first become exercisable on 6/11/04, 1,233 shares shall first become exercisable on 1/2/05, and the remaining 1,233 shares shall first become exercisable on 1/2/06, unless earlier terminated in accordance with the Stock Option Agreement. |
5. Granted under the 1997 Plan. Options immediately vested on 12/15/05, unless earlier terminated in accordance with the Stock Option Agreement. |
6. Non-Qualified Stock Options granted under the 2005 Plan. The options vest in equal installments of 1,200 shares over a five-year term beginning on 2/14/09 and thereafter on each successive anniversary date (2/14/10 - 2/14/13), unless earlier terminated in accordance with the Stock Option Agreement. |
7. Granted under the Plan. The Option immediately vests, unless earlier terminated in accordance with the Stock Option Agreement. |
8. Non-Qualified Stock Options granted under the Independent Bank Corp. 2005 Employee Stock Plan (2005 Plan). The options will vest in equal installments of 800 shares over a five-year term beginning on 2/15/08 and thereafter on each successive anniversary date (2/15/09 - 2/15/12), unless earlier terminated in accordance with the Stock Option Agreement. |
Barry H. Jensen | 09/08/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |