Form 144 restricted-stock notice for NBTB (NASDAQ: NBTB)

Rhea-AI Filing Summary

NBTB notice under Form 144 lists proposed sales of restricted common stock through Morgan Stanley Smith Barney LLC Executive Financial Services. The excerpt enumerates multiple restricted stock lots dated 01/15/2023, 05/15/2023, 01/15/2024, and 05/15/2024 with specified share counts.

Key Figures

Form type: Form 144 Restricted lot (01/15/2023): 77 shares Restricted lot (05/15/2023): 368 shares +3 more

6 metrics

Form type Form 144 notice of proposed sale

Restricted lot (01/15/2023) 77 shares issued 01/15/2023

Restricted lot (05/15/2023) 368 shares issued 05/15/2023

Restricted lot (01/15/2024) 77 shares issued 01/15/2024

Restricted lot (05/15/2024) A 369 shares issued 05/15/2024

Restricted lot (05/15/2024) B 1,209 shares issued 05/15/2024

Key Terms

Form 144, Restricted Stock, Issuer

3 terms

Form 144 regulatory

"144: Filer Information | 144: Issuer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock financial

"Securities To Be Sold Common | 01/15/2023 | Restricted Stock"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Issuer financial

"Restricted Stock | Issuer | | | 77 | 01/15/2023"

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	2100	100873.50	52010232	06/12/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	01/15/2023	Restricted Stock	Issuer			77	01/15/2023	Not Applicable
Common	05/15/2023	Restricted Stock	Issuer			368	05/15/2023	Not Applicable
Common	01/15/2024	Restricted Stock	Issuer			77	01/15/2024	Not Applicable
Common	05/15/2024	Restricted Stock	Issuer			369	05/15/2024	Not Applicable
Common	05/15/2024	Restricted Stock	Issuer			1209	05/15/2024	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the NBTB Form 144 filing report?

The filing reports proposed sales of restricted common stock through Morgan Stanley Smith Barney LLC. It lists multiple lots dated 01/15/2023 through 05/15/2024 with specified share counts shown in the excerpt.

How many restricted stock lots are listed in the NBTB excerpt?

The excerpt lists five restricted stock entries with dates and share counts. The visible lot counts are 77, 368, 77, 369, and 1,209 associated with the dates shown.

Who is the broker or sales agent named in the Form 144 excerpt for NBTB?

The filing names Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza as the broker/dealer handling the proposed sales in the excerpt.

Does the excerpt show sales completed or proceeds received for NBTB?

The excerpt enumerates proposed restricted stock to be sold and dates of issuance; it does not state completed sale proceeds or finalize transactions in the provided text.