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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RIBEIRO CARL 288 UNION STREET ROCKLAND, MA 02370 |
X |
By: Linda M. Campion, Power of Attorney For: Carl Ribeiro | 05/28/2009 | |
**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) | Independent Bank Corp. awarded restricted stock to reporting person. |
(2) | Indirect holdings include: 3,508.672 shares held in broker name f/b/o Filer; 1,017.903 shares held in Filer's SEP/IRA account w/broker; and 1,523.272 shares held in Filer's ROTH IRA account w/broker. These holdings reflect 37.2750, 10.8140, and 16.1830 shares, respectively, received pursuant to the Independent Bank Corp. Dividend Reinvestment Plan since the last Form 4 filing (1/09). Such transactions are exempt from the reporting requirements of Section 16 of the Securities and Exchange Act of 1934, as amended. |
(3) | Shares held in broker name f/b/o son. Holdings include 5.4070 shares received under the Independent Bank Corp. Dividend Reinvestment Plan since the last Form 4 filing (3/09). Such transactions are exempt from the reporting requirements of Section 16 of the Securities and Exchange Act of 1934 as amended. 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. |
(4) | Holdings held by spouse include: 1,017.903 shares held in broker name and 1,523.272 shares held in IRA w/broker. The holdings reflect 17.903 and 16.1830 shares respectively, received pursuant to the Independent Bank Corp. Dividend Reinvestment Plan since the last Form 4 filing (3/09). Such transactions are exempt from the reporting requirements of Section 16 of the Securities and Exchange Act of 1934, as amended. 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. |