Document:

Exhibit
        4.1.3

      

      

        CERTIFICATE
          OF AMENDMENT

         

        OF

         

        CERTIFICATE
          OF INCORPORATION

         

        OF

         

        SMITHTOWN
          BANCORP, INC.

         

        Under
          Section 805 of the Business Corporation Law

         

        [Filed
          with the State of New York Department of State on May 21, 1998]

        

        

        The
          undersigned, being Chairman of the Board and President, of Smithtown Bancorp,
          Inc., a New York corporation, hereby certifies that:

         

        FIRST.
          The name of the corporation is Smithtown Bancorp, Inc.

         

        SECOND.
          The certificate of incorporation of the corporation was filed by the Department
          of State on May 7, 1984.

         

        THIRD.
          The certificate of incorporation is amended to effect a two-for-one stock
          split
          of the corporation’s Common Stock, thereby increasing the number of shares which
          the corporation has authority to issue from 1,500,000 shares of Common
          Stock
          with a par value of $5.00 each to 3,000,000 shares of Common Stock with
          a par
          value of $2.50 each. Prior to the date hereof, there were 447,955 shares
          of
          Common Stock, par value $5.00, issued. As a result of this amendment, 895,910
          shares of Common Stock, par value $2.50 will be issued. Prior to the date
          hereof, there were 1,052,045 shares of Common Stock, par value $5.00, unissued.
          As a result of this amendment, 2,104,090 shares of Common Stock, par value
          $2.50, will be unissued. To effect such change, Article FOURTH of the
          certificate of incorporation of the corporation is hereby amended in its
          entirety to read as follows:

         

        
          
            
            

          

          
            1

            
              

            

          

          
            
            

          

        

         

        "FOURTH.
          Number
          of Shares.
          The
          aggregate number of shares which the corporation shall have authority to
          issue
          shall be 3,100,000, of which 3,000,000 shall be designated as Common Shares
          with
          a par value of $2.50 each and 100,000 shall be designated as Preferred
          Shares
          with a par value of one cent ($0.01) each. Preferred Shares may be issued
          in
          series from time to time by the board of directors, and the board of directors
          is expressly authorized to fix by resolution or resolutions the designations
          and
          the powers, preferences and rights, and the qualifications, limitations
          and
          restrictions thereof, the Preferred Shares, including without limitation
          the
          following:

         

        
          	 	
                  (a)

                	
                  the
                    distinctive serial designation of such series which shall distinguish
                    it
                    from other series;

                

        

         

        
          	 	
                  (b)

                	
                  the
                    number of shares included in such series, which number may be
                    increased or
                    decreased from time to time unless otherwise provided by the
                    board of
                    directors in the resolution or resolutions providing for the
                    issue of such
                    series;

                

        

         

        
          	 	
                  (c)

                	
                  the
                    dividend rate (or method of determining such rate) payable to
                    the holders
                    of the shares of such series, any conditions upon which such
                    dividends
                    shall be paid and the date or dates upon which such dividends
                    shall be
                    payable;

                

        

         

        
          	 	
                  (d)

                	
                  whether
                    dividends on the shares of such series shall be cumulative and,
                    in the
                    case of shares of any series having cumulative dividend rights,
                    the date
                    or dates or method of determining the date or dates from which
                    dividends
                    on the shares of such series shall be
                    cumulative;

                

        

         

        
          	 	
                  (e)

                	
                  the
                    amount or amounts which shall be payable out of the assets of
                    the
                    corporation to the holders of the shares of such series upon
                    voluntary or
                    involuntary liquidation, dissolution or winding up the
                    corporation;

                

        

         

        
          	 	
                  (f)

                	
                  the
                    price or prices at which, the period or periods within which
                    and the terms
                    and conditions upon which the shares of such series may be redeemed,
                    in
                    whole or in part, at the option of the corporation or at the
                    option of the
                    holder or holders thereof or upon the happening of a specified
                    event or
                    events;

                

        

         

        
          	 	
                  (g)

                	
                  the
                    obligation, if any, of the corporation to purchase or redeem
                    shares of
                    such series pursuant to a sinking fund or otherwise and the price
                    or
                    prices at which, the period or periods within which and the terms
                    and
                    conditions upon which the shares of such series shall be redeemed
                    or
                    purchased, in whole or in part, pursuant to such
                    obligation;

                

        

         

        
          	 	
                  (h)

                	
                  whether
                    or not the shares of such series shall be convertible or exchangeable,
                    at
                    any time or at items at the option of the holder or holders thereof
                    or at
                    the option of the corporation or upon the happening of a specified
                    event
                    or events, into shares of any other class or classes or any other
                    series
                    of the same or any other class or classes of stock of the corporation,
                    and
                    the price or prices or rate or rates applicable thereto;
                    and

                

        

         

        
          
            
            

          

          
            2

            
              

            

          

          
            
            

          

        

         

        
          	 	
                  (i)

                	
                  the
                    voting rights, if any, of the holders of the shares of such
                    series."

                

        

         

        FIFTH.
          The foregoing amendments of the certificate of incorporation were authorized
          by
          the Board of Directors of the corporation at a meeting duly called and
          held on
          February 24, 1998 followed by the favorable vote of the holders of a
          majority of all outstanding shares entitled to vote thereon at a meeting
          of
          shareholders duly called and held on April 7, 1998.

         

        IN
          WITNESS WHEREOF, the undersigned have signed this certificate of amendment
          of
          certificate of incorporation on May 18, 1998 and affirm the statements
          contained
          herein as true under the penalties of perjury.

         

        
          	 	 	 
	 	SMITHTOWN
                  BANCORP,
                  INC.
	 
 	 
 	 
 
	 	By:  	/s/ BRADLEY
                  E. ROCK
	 	
                  

                  Name:
                    Bradley E. Rock

                  Title:
                    Chairman of the Board and President

                
	 	 

        

        
          	 	 	 
	 
 	 
 	 
 
	 	By:  	/s/ JUDITH
                  BARBER
	 	
                  

                  Name:
                    Judith Barber

                  Title:
                    Secretary

                
	 	 

        

        
            

        

        
          
            
            

          

          
            3Exhibit
        4.1.4

      

      

        CERTIFICATE
          OF AMENDMENT

         

        OF

         

        CERTIFICATE
          OF INCORPORATION

         

        OF

         

        SMITHTOWN
          BANCORP, INC.

         

        Under
          Section 805 of the Business Corporation Law

         

        [Filed
          with the State of New York Department of State on July 9, 2001]

        

        

        The
          undersigned, being the Chairman of the Board, President and Chief Executive
          Officer and the Secretary, of Smithtown Bancorp, Inc., a New York
          corporation, hereby certify that:

         

        FIRST:
          The name of the corporation is Smithtown Bancorp, Inc.

         

        SECOND:
          The certificate of incorporation of the corporation was filed by the Department
          of State on May 7, 1984 and was amended by certificates of amendment of
          the
          certificate of incorporation filed by the Department of State on May 30,
          1997 and May 21, 1998.

         

        THIRD:
          For the purpose of effecting a two-for-one stock split, the certificate
          of
          incorporation, as amended, is hereby further amended to increase the number
          of
          shares of Common Stock which the corporation has authority to issue from
          3,000,000 shares of Common Stock with a par value of $2.50 each to 7,000,000
          shares of Common Stock with a par value of $1.25 each. The 771,018 shares
          of
          Common Stock, par value of $2.50 per share, issued, shall be changed into
          1,542,036 new shares of Common Stock, par value of $1.25 per share at the
          rate
          of 2 for 1. The 2,228,982 shares of Common Stock, par value of $2.50 per
          share,
          unissued, shall be changed into 4,457,964 new shares of Common Stock, par
          value
          of $1.25 per share at the rate of 2 for 1 and an additional 1,000,000 shares
          of
          Common Stock, par value of $1.25 per share are hereby authorized. As a
          result of
          this amendment, 5,457,964 shares of Common Stock, par value of $1.25 each,
          will
          be authorized but unissued. The Preferred Shares of the corporation shall
          remain
          the same and shall not be affected by this amendment.

         

        
          
            
            

          

          
            
            

            
              

            

          

          
            
            

          

        

         

        FOURTH:
          To effect such change, the first sentence of Article FOURTH of the
          certificate of incorporation of the corporation is hereby amended in its
          entirety to read as follows:

         

        “The
          aggregate number of shares which the corporation shall have authority to
          issue
          shall be 7,100,000, of which 7,000,000 shall be designated as Common Shares
          with
          a par value of $1.25 each, and 100,000 shall be designated as Preferred
          Shares
          with a par value of one cent ($0.01) each.”

         

        FIFTH:
          The foregoing amendment of the certificate of incorporation was authorized
          by
          the Board of Directors of the corporation at a meeting duly called and
          held on
          February 15, 2001 followed by the favorable vote of the holders of a
          majority of all outstanding shares entitled to vote thereon at a meeting
          of
          shareholders duly called and held on April 17, 2001.

         

        IN
          WITNESS WHEREOF, the undersigned have signed this certificate of amendment
          of
          certificate of incorporation on May 4, 2001 and affirm the statements contained
          herein as true under the penalties of perjury.

         

        
          	 	 	 
	 	SMITHTOWN
                  BANCORP,
                  INC.
	 
 	 
 	 
 
	 	By:  	/s/ BRADLEY
                  E. ROCK
	 	
                  

                  Name:
                    Bradley E. Rock

                  Title:
                    Chairman of the Board, President and Chief
                    Executive Officer

                
	 	 

        

        
          	 	 	 
	 
 	 
 	 
 
	 	By:  	/s/ JUDITH
                  BARBER
	 	
                  

                  Name:
                    Judith Barber

                  Title:
                    Secretary

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