NBT Bancorp CRO reports insider share holdings
NBT Bancorp Inc. executive Joseph P. Sergienko, the Chief Risk Officer, filed a Form 3 showing his existing ownership of the company’s common stock.
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Form Type
3
Rhea-AI Filing Summary
NBT Bancorp Inc. executive Joseph P. Sergienko, the Chief Risk Officer, filed a Form 3 showing his existing ownership of the company’s common stock. He reports direct ownership of 2,863 shares of NBT Bancorp Inc. Common Stock and indirect ownership of 123.323 shares through a 401k plan. The filing lists these positions as holdings rather than new purchases or sales, so it primarily establishes his baseline stake as an officer of the company.
Insider Trade Summary
2 transactions reported
Mixed
2 txns
Insider
Sergienko Joseph P
Role
Chief Risk Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | NBT Bancorp Inc. Common Stock | -- | -- | -- |
| holding | NBT Bancorp Inc. Common Stock | -- | -- | -- |
Holdings After Transaction:
NBT Bancorp Inc. Common Stock — 123.323 shares (Indirect, 401k);
NBT Bancorp Inc. Common Stock — 2,863 shares (Direct)
Key Figures
Direct common shares: 2,863 shares
Indirect 401k shares: 123.323 shares
Holding entries: 2 entries
+1 more
4 metrics
Direct common shares
2,863 shares
Direct ownership reported on Form 3
Indirect 401k shares
123.323 shares
Indirect ownership through 401k plan
Holding entries
2 entries
Number of holding lines reported
Unknown transaction records
2 transactions
Classified with unknown transaction code
Key Terms
Form 3, beneficial ownership, 401k, indirect ownership, +1 more
5 terms
Form 3 regulatory
"filed a Form 3 showing his existing ownership of the company’s common stock"
Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.
beneficial ownership financial
"establishing his baseline beneficial ownership as an executive"
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
401k financial
"indirect ownership of 123.323 shares through a 401k plan"
An employer-sponsored retirement savings plan in the United States that lets workers set aside part of their paycheck into investments with tax advantages; some plans also include employer matching contributions, which is like free money added to your savings. It matters to investors because 401(k) balances represent a large pool of household retirement assets that influence personal financial security, investor behavior, and long-term demand for stocks and bonds.
indirect ownership financial
"indirect ownership of 123.323 shares of NBT Bancorp Inc. Common Stock"
Chief Risk Officer financial
"Joseph P. Sergienko, the Chief Risk Officer, filed a Form 3"
The chief risk officer is the senior executive responsible for identifying, measuring and reducing the major threats that could hurt a company’s finances or reputation, acting like a navigator who watches for storms and steers the business away from them. Investors care because effective risk oversight lowers the chance of surprise losses, legal fines or operational failures, which helps protect shareholder value and makes a company more predictable and trustworthy.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What does NBTB Chief Risk Officer Joseph Sergienko report on this Form 3?
He reports his existing ownership of NBT Bancorp Inc. common stock. The filing shows 2,863 shares held directly and 123.323 shares held indirectly through a 401k plan, establishing his baseline beneficial ownership as an executive.
What indirect NBTB holdings does Joseph Sergienko disclose on Form 3?
He discloses indirect ownership of 123.323 shares of NBT Bancorp Inc. Common Stock. These shares are held through a 401k plan, meaning they are part of an employer-sponsored retirement account rather than directly registered to him.
Does this NBTB Form 3 show any recent insider buying or selling?
No specific buy or sell transactions are identified in this Form 3. The entries are classified as holdings, with transaction codes unknown and transaction share amounts not listed, indicating the form is focused on reporting existing positions.
What role does Joseph Sergienko hold at NBT Bancorp (NBTB)?
He serves as Chief Risk Officer at NBT Bancorp Inc. This executive role oversees the company’s risk management framework, and the Form 3 discloses his beneficial ownership in the company’s common stock as an officer.
AI-generated analysis. How Rhea-AI works. Not financial advice.
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