Annual Statement of Changes in Beneficial Ownership (5)
February 13 2014 - 11:42AM
Edgar (US Regulatory)
FORM 5
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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).
[ ]
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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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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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
*
GOOCH MARK A
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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)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive Vice Pres./Secretary
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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)
12/31/2013
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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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1/2/2013
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J
(1)
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130.956
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A
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$33.84
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14199.3732
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D
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Common Stock
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4/1/2013
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J
(1)
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140.7455
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A
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$33.44
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15082.1187
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D
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Common Stock
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7/1/2013
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J
(1)
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130.2679
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A
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$36.47
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15212.3866
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D
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Common Stock
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10/1/2013
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J
(1)
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119.1667
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A
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$40.85
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15331.5533
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D
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Common Stock
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12/31/2013
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J
(2)
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701.0363
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A
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$0
(2)
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11436.6812
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I
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By ESOP
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Common Stock
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12/31/2013
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J
(3)
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837.0414
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A
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$0
(3)
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12907.3813
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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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$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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1821
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1821
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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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1821
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3642
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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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1821
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5463
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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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1821
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7284
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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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1888
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9172
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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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1888
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11060
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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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1888
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12948
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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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1888
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14836
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D
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Option
(5)
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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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2166.25
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17002.25
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D
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Option
(5)
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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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2166.25
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19168.5
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D
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Option
(5)
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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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2166.25
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21334.75
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D
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Option
(5)
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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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2166.25
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23501
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D
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Option
(6)
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$28.32
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1/29/2013
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1/29/2018
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Common Stock
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5000
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28501
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D
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Explanation of Responses:
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(
1)
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Community Trust Bancorp, Inc. Dividend Reinvestment Plan Shares.
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(
2)
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These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. Employee Stock Ownership Plan at a price range of $33.44-$40.85 per share in transactions that were exempt from Section 16(b) by virtue of old rule 16a-8(b). The information reported herein is based on plan statement dated December 31, 2013.
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(
3)
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These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. 401(k) Plan at a price range of $33.44-$40.85 per share in transactions that were exempt 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, 2013.
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(
4)
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Right to buy pursuant to Incentive Stock Option Agreement (CTBI 1998 Stock Option Plan).
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(
5)
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Right to buy pursuant to Incentive Stock Option Agreement (CTBI 2006 Stock Option Plan).
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(
6)
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Right to buy pursuant to Non-Qualified Stock Option Agreement (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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GOOCH MARK A
PO BOX 2947
PIKEVILLE, KY 41502-2947
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Executive Vice Pres./Secretary
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Signatures
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Mark A. Gooch By: Marilyn T. Justice, Attorney-in-Fact
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2/13/2014
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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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