-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C08baxLdgikLsQnWP0TY0LQVo1RcCNDWcZeNXuIniWL7UXg8OOATppGCkjOzf4ma J4blvQOHp/lhEQgNVzSttg== 0000763563-97-000006.txt : 19970221 0000763563-97-000006.hdr.sgml : 19970221 ACCESSION NUMBER: 0000763563-97-000006 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHEMUNG FINANCIAL CORP CENTRAL INDEX KEY: 0000763563 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 161237038 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-37095 FILM NUMBER: 97523402 BUSINESS ADDRESS: STREET 1: ONE CHEMUNG CANAL PLZ STREET 2: P O BOX 1522 CITY: ELMIRA STATE: NY ZIP: 14902 BUSINESS PHONE: 6077373711 MAIL ADDRESS: STREET 1: ONE CHEMUNG CANAL PLZ STREET 2: P O BOX 1522 CITY: ELMIRA STATE: NY ZIP: 14902 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHEMUNG CANAL TRUST CO CENTRAL INDEX KEY: 0000790354 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 160380815 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE CHEMUNG CANAL PLAZA STREET 2: P O BOX 1522 CITY: ELMIRA STATE: NY ZIP: 14091 BUSINESS PHONE: 6077373711 SC 13G/A 1 AMENDMENT NO. 11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* CHEMUNG FINANCIAL CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $5.00 (Title of Class of Securities) 164024 10 1 (CUSIP Number) Check the following if a fee is being paid with this statement( ). (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 6 pages SEC 1745 (2/95) 13G CUSIP No. 164024 10 1 Page 2 of 6 Pages 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Chemung Canal Trust Company E.I. No. 16-0380815 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - State of New York NUMBER OF 5. SOLE VOTING POWER SHARES 25,613 BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 574,251 EACH 7. SOLE DISPOSITIVE POWER REPORTING 25,613 PERSON 8. SHARED DISPOSITIVE POWER WITH 184,399 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 599,864 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 28.95% 12. TYPE OF REPORTING PERSON* BK *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 6 pages SCHEDULE 13G (Amendment No. 11) Item 1(a) Name of Issuer: Chemung Financial Corporation Item 1(b) Address of Issuer's Principal Executive Offices: One Chemung Canal Plaza Elmira, New York 14901 Item 2(a) Name of Person Filing: Chemung Canal Trust Company Item 2(b) Address or Principal Business Office or, if none, residence: One Chemung Canal Plaza Elmira, New York 14901 Item 2(c) Citizenship: Organized in the State of New York Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 164024 10 1 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) ( ) Broker or Dealer registered under Section 15 of the Act (b) (X) Bank as defined in Section 3(a)(6) of the Act (c) ( ) Insurance Company as defined in Section 3(a)(19) of the Act (d) ( ) Investment Company registered under Section 8 of the Investment Company Act (e) ( ) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) ( ) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) ( ) Parent Holding Company, in accordance with Section 240.13d-(b)(ii)(G) (h) ( ) Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) Item 4 Ownership: If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned: 599,864 (b) Percent of Class: 28.95% based on 2,072,214 shares outstanding on December 31, 1996, as reported by the issuer. (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 25,613 (ii) shared power to vote or to direct the vote: 574,251 (iii) sole power to dispose or to direct the disposition of: 25,613 (iv) shared power to dispose or to direct the disposition of: 184,399 Item 5 Ownership of Five Percent or Less of a Class: NOT APPLICABLE Item 6 Ownership of More than Five Percent on Behalf of Another Person: If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. The reporting person is a New York banking corporation (herein referred to as Bank) wholly owned by the Issuer, a New York Bank Holding Company (herein referred to as Holding Company). During the year 1996 said Bank in various fiduciary capacities acquired and disposed of shares of said Holding Company. Among the holdings by the Bank are 226,842 shares of said Holding Company common stock held by the Bank as trustee of the Chemung Canal Trust Company Profit Sharing, Savings and Investment Plan, a qualified Plan. The beneficiary participants of said Plan are employees of the Bank. Said holdings are further reported on a separate Schedule 13G filed by the Bank as Trustee of said Plan. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security being Reported on By the Parent Holding Company: NOT APPLICABLE If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c), attach an exhibit stating the identification of the relevant subsidiary. Item 8 Identification and Classification of Members of the Group: NOT APPLICABLE If a group has filed this schedule pursuant to Rule 13d-1(b)(ii)(H), so indicate under Item 3(h) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d-1(c), attach an exhibit stating the identity of each member of the group. Item 9 Notice of Dissolution of Group: NOT APPLICABLE Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the securities reported on will be filed, if required by members of the group in their individual capacity. Item 10 Certification: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: January 31, 1997. Signature: By: /s/ John W. Bennett Name/Title: John W. Bennett, Chairman of the Board and Chief Executive Officer The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b). By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Signature: By: /s/ John W. Bennett John W. Bennett, Chairman of the Board 1 and Chief Executive Officer ___________________ 1*The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or gerneral partner of the filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statment, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. -----END PRIVACY-ENHANCED MESSAGE-----