1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Incentive Stock Option (right to buy)
|
06/22/2001(1)
|
12/20/2010 |
Common Stock
|
4,050
|
$
11.9063
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
06/21/2002(2)
|
12/19/2011 |
Common Stock
|
4,725
|
$
20.125
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
06/20/2003(3)
|
12/19/2012 |
Common Stock
|
4,600
|
$
23.47
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
06/11/2004(4)
|
12/11/2013 |
Common Stock
|
3,538
|
$
30.14
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
12/15/2005(5)
|
12/09/2014 |
Common Stock
|
785
|
$
34.18
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
02/14/2008(6)
|
02/14/2018 |
Common Stock
|
6,000
|
$
28.27
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
12/15/2005(7)
|
12/14/2012 |
Common Stock
|
5,000
|
$
28.895
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
06/11/2004(4)
|
12/11/2013 |
Common Stock
|
162
|
$
30.14
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
02/15/2008(8)
|
02/15/2017 |
Common Stock
|
4,000
|
$
32.995
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
12/15/2005(5)
|
12/09/2014 |
Common Stock
|
4,215
|
$
34.18
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Granted under the Independent Bank Corp. 1997 Employee Stock Option Plan ("1997 Plan"). 1,350 shares shall first become exercisable on 6/22/01, 1,350 shares shall first become exercisable on 1/20/02, and the remaining 1,350 shares shall first become exercisable on 1/2/03. The Option will expire on 12/20/10 unless earlier terminated in accordance with the Stock Option Agreement. |
(2) |
Granted under the 1997 Plan. 1,575 shares shall first become exercisable on 6/21/02, 1,575 shares shall first become exercisable on 1/2/03 and the remaining 1,575 shares shall first become exercisable on 1/2/04, unless earlier terminated in accordance with the Stock Option Agreement. |
(3) |
Granted under the 1997 Plan. 1,534 shares shall first become exercisable on 6/20/03, 1,533 shares shall first become exercisable on 1/2/04, and the remaining 1,533 shares shall first become exercisable on 1/2/05 unless earlier terminated in accordance with the Stock Option Agreement. |
(4) |
Granted under the 1997 Plan. 1,234 shares shall first become exercisable on 6/11/04, 1,233 shares shall first become exercisable on 1/2/05, and the remaining 1,233 shares shall first become exercisable on 1/2/06, unless earlier terminated in accordance with the Stock Option Agreement. |
(5) |
Granted under the 1997 Plan. Options immediately vested on 12/15/05, unless earlier terminated in accordance with the Stock Option Agreement. |
(6) |
Non-Qualified Stock Options granted under the 2005 Plan. The options vest in equal installments of 1,200 shares over a five-year term beginning on 2/14/09 and thereafter on each successive anniversary date (2/14/10 - 2/14/13), unless earlier terminated in accordance with the Stock Option Agreement. |
(7) |
Granted under the Plan. The Option immediately vests, unless earlier terminated in accordance with the Stock Option Agreement. |
(8) |
Non-Qualified Stock Options granted under the Independent Bank Corp. 2005 Employee Stock Plan (2005 Plan). The options will vest in equal installments of 800 shares over a five-year term beginning on 2/15/08 and thereafter on each successive anniversary date (2/15/09 - 2/15/12), unless earlier terminated in accordance with the Stock Option Agreement. |