|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
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 |
Taylor Beckett, Power of Attorney for John H. Spurr, Jr. | 08/12/2014 | |
**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) | Distribution of shares by John H. Spurr 1993 Trust f/b/o Filer, who is a co-trustee and remainderman of Trust. One-half of these shares were distributed to the John H. Spurr, Jr. Trust, of which Filer is a Trustee and Life Beneficiary. |
(2) | 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 remainderman of Trust and 2,415 shares held i/n/o Elizabeth P. Spurr 1972 Trust f/b/o Filer's sister. Filer is co-trustee of Trust. The John H. Spurr 1993 Trust f/b/o Filer no longer holds any Independent Bank Corp. shares. The filing of this statement should not be construed as an admission that the undersigned is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Exchange Act"), the beneficial owner of such securities held by Trusts. |
(3) | Shares held i/n/o of John H. Spurr, Jr. Trust of which the Filer is a Trustee and Life Beneficiary. Holdings include 9.416 shares acquired as a result of participation in the 2010 Independent Bank Corp. Dividend Reinvestment and Stock Purchase Plan since the last Form 4 filing. Such transactions are exempt from the reporting requirements of Section 16 of the Exchange Act. |
(4) | Transfer of 2,042 shares by John H. Spurr, Jr. Trust, of which the Filer is a Trustee and Life Beneficiary, to the Kay Spurr Trust, over which the Filer may be deemed to possess voting or investment control. |
(5) | 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. |
(6) | Shares acquired as a result of participation in the Independent Bank Corp. Directors Deferred Compensation Program. |
(7) | The Form 4 filed by the Filer on May 21, 2014 inadvertently understated the amount of securities beneficially owned following the reported transaction by 780 shares. This amount has been updated to reflect the inclusion of those 780 shares. Total holdings also include 68.1274 shares acquired as a result of participation in the 2010 Independent Bank Corp. dividend Reinvestment and Stock Purchase Plan since the last Form 4 filing. Such transactions are exempt from the reporting requirements of Section 16 of the Exchange Act. |
(8) | 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. |
(9) | 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 Securities Exchange Act, the beneficial owner of such securities. |