FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
INDEPENDENT BANK CORP [ INDB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/24/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 07/26/2013 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 07/24/2013 | M | 1,352 | A | $30.14 | 30,411 | D | |||
Common Stock | 07/24/2013 | S | 7,387 | D | $37.65 | 23,024(1) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: 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 | ||||||||
Incentive Stock Option (Right to Buy) | $30.14 | 07/24/2013 | M | 1,352 | 06/11/2004(2) | 12/11/2013 | Common Stock | 1,352 | $0 | 0 | D | ||||
Non Qualified Stock Option (Right to Buy) | $30.14 | 07/24/2013 | M | 1,685 | 01/02/2005(3) | 12/11/2013 | Common Stock | 1,685 | $0 | 0 | D |
Explanation of Responses: |
1. Total holdings on original Form 4 filing of 7/24/13 and subsequent Form 4 amendment on July 30, 2013, were inadvertently overstated by one share. |
2. Granted under the Independent Bank Corp. 1997 Employee Stock Option Plan (1997 Plan). 1,012 shares became exercisable on 6/11/04 and the remaining 340 shares became exercisable on 1/2/05, subject to the earlier termination of employment or acceleration of vesting schedule under certain termination of employee circumstances. Original Form 4 filing incorrectly stated the vesting schedule for the options. |
3. Granted under the 1997 Plan. 673 shares shall first become exercisable on 1/2/05 and the remaining 1,012 shares became exercisable on 1/2/06, subject to the earlier termination of employment or acceleration of vesting schedule under certain termination of employee circumstances. Original Form 4 filing (7/24/13) incorrectly stated the vesting schedule for the options. |
Remarks: |
Due to an inadvertent error, the Form 4A filing on July 30, 2013 incorrectly stated the original filing date. This date should have been stated as July 26, 2013. |
Linda M. Campion, Power of Attorney, Raymond G. Fuerschbach | 08/01/2013 | |
** 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 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). | ||
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. |