Community Trust Bancorp Inc /KY/ - Annual Statement of Changes in Beneficial Ownership (5)
January 31 2008 - 11:36AM
Edgar (US Regulatory)
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HALE JEAN R
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2. Issuer Name
and
Ticker or Trading Symbol
COMMUNITY TRUST BANCORP INC /KY/ [CTBI]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman, President & CEO
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(Last)
(First)
(Middle)
PO BOX 2947
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2007
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(Street)
PIKEVILLE, KY 41502-2947
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Common Stock
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7/2/2007
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J
(1)
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218
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A
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$32.64
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76601
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D
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Common Stock
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10/1/2007
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J
(1)
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223
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A
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$32.17
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76823
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D
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Common Stock
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12/31/2007
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J
(2)
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878.157
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A
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$0
(2)
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13975.55
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I
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By: ESOP
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Common Stock
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12/31/2007
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J
(3)
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1952.292
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A
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$0
(3)
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39945.713
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I
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By: 401(k)
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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 Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option
(4)
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$15.368
(5)
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7/27/2004
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7/27/2009
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Common Stock
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29292
(5)
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29.282
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D
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Option
(4)
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$13.233
(6)
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1/25/2003
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1/25/2010
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Common Stock
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2976
(6)
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32258
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D
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Option
(4)
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$13.233
(6)
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1/25/2004
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1/25/2010
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Common Stock
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2976
(6)
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35234
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D
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Option
(4)
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$11.833
(7)
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1/23/2006
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1/23/2011
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Common Stock
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13310
(7)
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48544
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D
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Option
(4)
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$16.717
(8)
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1/29/2007
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1/29/2012
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Common Stock
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13310
(8)
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61854
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D
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Option
(4)
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$20.983
(9)
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1/17/2004
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1/17/2013
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Common Stock
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3097.5
(9)
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64951.5
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D
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Option
(4)
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$20.983
(9)
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1/17/2005
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1/17/2013
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Common Stock
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3097.5
(9)
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68049
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D
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Option
(4)
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$20.983
(9)
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1/17/2006
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1/17/2013
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Common Stock
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3097.5
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71146.5
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D
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Option
(4)
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$20.983
(9)
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1/17/2007
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1/17/2013
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Common Stock
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3097.5
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74244
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D
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Option
(4)
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$27.109
(10)
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1/27/2009
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1/27/2014
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Common Stock
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8250
(10)
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82494
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D
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Option
(4)
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$30.88
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1/28/2006
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1/28/2015
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Common Stock
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2388
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84882
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D
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Option
(4)
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$30.88
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1/28/2007
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1/28/2015
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Common Stock
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2388
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87270
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D
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Option
(4)
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$30.88
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1/28/2008
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1/28/2015
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Common Stock
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2388
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89658
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D
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Option
(4)
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$30.88
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1/28/2009
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1/28/2015
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Common Stock
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2388
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92046
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D
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Option
(4)
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$32.44
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1/27/2007
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1/27/2016
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Common Stock
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2466
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94512
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D
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Option
(4)
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$32.44
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1/27/2008
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1/27/2016
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Common Stock
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2466
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96978
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D
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Option
(4)
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$32.44
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1/27/2009
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1/27/2016
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Common Stock
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2466
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99444
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D
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Option
(4)
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$32.44
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1/27/2010
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1/27/2016
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Common Stock
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2466
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101910
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D
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Option
(11)
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$38.95
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1/23/2008
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1/23/2017
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Common Stock
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2824.25
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104734.25
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D
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Option
(11)
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$38.95
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1/23/2009
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1/23/2017
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Common Stock
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2824.25
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107558.5
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D
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Option
(11)
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$38.95
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1/23/2010
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1/23/2017
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Common Stock
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2824.25
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110382.75
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D
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Option
(11)
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$38.95
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1/23/2011
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1/23/2017
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Common Stock
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2824.25
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113207
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D
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Explanation of Responses:
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(
1)
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Dividend Reinvestment Shares.
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(
2)
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These shares were acquired during the fiscal year under the CTBI Employee Stock Ownership Plan at an average price range of $32.17 to $40.89 per share, in transactions that were exempted by virtue of old Rule 16a-8(b) and new Rule 16b-3 (d) (2). The information reported herein is based on plan statement dated December 31, 2007.
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(
3)
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These shares were acquired during the fiscal year under the CTBI 401(k) Plan at an average price range of $40.89 to $32.17 per share, in transactions that were exempted by virtue of old Rule 16a-8(b) and new Rule 16b-3 (d) (2). The information reported herein is based on plan statement dated December 31, 2007.
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(
4)
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Right to buy pursuant to CTBI 1998 Stock Option Plan.
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(
5)
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Option previously reported as covering 20,000 shares @$22.50 per share, adjusted to reflect 10% stock dividends effective 04/15/00, 12/15/02, 12/15/03, and 12/15/04.
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(
6)
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Option previously reported as covering 2,032 shares @$19.375 per share, adjusted to reflect 10% stock dividends effective 04/15/00, 12/15/02, 12/15/03, and 12/15/04.
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(
7)
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Option previously reported as covering 10,000 shares @$15.75 per share, adjusted to reflect 10% stock dividends effective 12/15/02, 12/15/03, and 12/15/04.
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(
8)
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Option previously reported as covering 10,000 shares @$22.25 per share, adjusted to reflect 10% stock dividends effective 12/15/02, 12/15/03, and 12/15/04.
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(
9)
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Option previously reported as covering 2,560 shares @$25.39 per share, adjusted to reflect 10% stock dividends effective 12/15/03 and 12/15/04.
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(
10)
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Option previously reported as covering 7,500 shares @$29.82 per share, adjusted to reflect 10% stock dividend effective 12/15/04.
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(
11)
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Right to buy pursuant to CTBI 2006 Stock Ownership Incentive Plan.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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HALE JEAN R
PO BOX 2947
PIKEVILLE, KY 41502-2947
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X
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Chairman, President & CEO
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Signatures
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Jean R. Hale By: Marilyn T. Justice, Attorney-in-Fact
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1/31/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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