-----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, P85lkRhP5oypWShvHhiIplEaLESLSCYtrfVqY4MU2s0H2xsFkREBo8bRDv6+t8xG pKrzjW3iTWJRW9EF0+k+LA== 0000950144-98-002255.txt : 19980304 0000950144-98-002255.hdr.sgml : 19980304 ACCESSION NUMBER: 0000950144-98-002255 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971201 FILED AS OF DATE: 19980303 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL COMMERCE BANCORPORATION CENTRAL INDEX KEY: 0000101844 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 620784645 STATE OF INCORPORATION: TN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-06094 FILM NUMBER: 98556879 BUSINESS ADDRESS: STREET 1: ONE COMMERCE SQ CITY: MEMPHIS STATE: TN ZIP: 38150 BUSINESS PHONE: 9015233242 MAIL ADDRESS: STREET 1: ONE COMMERCE SQ CITY: MEMPHIS STATE: TN ZIP: 38150 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TENNESSEE BANCSHARES CORP DATE OF NAME CHANGE: 19780820 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TENNESSEE BANSHARES CORP DATE OF NAME CHANGE: 19780525 COMPANY DATA: COMPANY CONFORMED NAME: CANALE JOHN D III CENTRAL INDEX KEY: 0001056445 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: D CANALE & CO STREET 2: 7 GEORGIA AVE W CITY: MEMPHIS STATE: TN ZIP: 38103 MAIL ADDRESS: STREET 1: D CANALE & CO STREET 2: 7 GEORGIA AVE W CITY: MEMPHIS STATE: TN ZIP: 38102 5 1 NATIONAL COMMERCE BANCORPORATION/ J. D. CANALE III 1 - ------ FORM 5 - ------ / / CHECK BOX IF NO U.S. SECURITIES AND EXCHANGE COMMISSION LONGER SUBJECT TO WASHINGTON, DC 20549 SECTION 16. FORM 4 OR FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OBLIGATIONS MAY CONTINUE. SEE Filed pursuant to Section 16(a) of the Securities INSTRUCTION 1(b) Exchange Act of 1934, / / FORM 3 HOLDINGS Section 17(a) of the Public Utility REPORTED Holding Company Act of 1935 or Section 30(f) of / / FORM 4 the Investment Company Act TRANSACTIONS of 1940 REPORTED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Canale III John D. National Commerce Bancorporation NCBC Issuer (Check all applicable) - ------------------------------------------- ---------------------------------------------- XX Director 10% Owner (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- --- c/o D. Canale Food Services, Inc. Number of Reporting Month/Year Officer (give Other (specify P.O. Box 1739 Person, if an Entity 12/97 ---- title --- below) - ------------------------------------------- (Voluntary) ------------------- below) (Street) 5. If Amendment, Memphis TN 38101 Date of Original ------------------------------- - ------------------------------------------- (Month/Year) (City) (State) (Zip) 7. Individual or Joint/Group Filing ------------------ (Check applicable line) Form Filed by one ---- Reporting Person Form Filed by more than ---- one Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. End of Issuer's Direct Benefi- (Month/ 8) Fiscal Year (D) or cial Day/ ---------------------------- (Instr. 3 and 4) Indirect Owner- Year) Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1/97 J* 100 A N/A 78,154 D N/A - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock N/A W** 322,490 I Estate - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/97 J*** 2,620,916 A N/A 2,620,916 I Corp. - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses)
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FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Expiration Securities Deriv- Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative Deriv- Day/ 8) or Disposed (Month/Day/ Secur- ative Year) of (D) Year) ity Security (Instr. 3, (Instr. 5) 4, and 5) ----------------------------------- Date Expira- Amount or --------------- Exer- tion Title Number of (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------- 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative of Derivative Indirect (Instr. 3) Securities Security: Beneficial Beneficially Direct (D) Ownership Owned at End or Indirect (I) (Instr. 4) of Year (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: *Item 3 (Code J): 100 shares received January 1997 as director's compensation **Item 3 (Code W): Co-Executor: Estate of John D. Canale, Jr., date of death 2/96 and co-trustee of Testamentary Trust created under Last Will & Testament of John D. Canale, Jr. ***Item 3 (Code J): D. Canale & Co., a reporting person, is and has been for several years, the record owner of 2,620,916 shares, as adjusted by stock splits, of the Issuer. In December 1997, Peggy W. Canale, a former reporting person, disposed of the majority controlling interest in D. Canale & Co by a gift of 49% to a 501(c)(3) charitable organization and 2% equally to four family trusts. The shares of D. Canale & Co. were subsequently redeemed by the Company from the charitable organization. As a result of the aforementioned transaction, the reporting person herein obtained a fifty (50%) percent voting interest with the remaining fifty (50%) percent voting interest as a result of the transaction being held by his brother, Christopher W. Canale. The reporting person as a part of his 50% has a voting interest in one (1%) percent of the voting shares held in trusts for the benefit of his nephew and niece. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ John D. Canale III 2/11/98 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person Date Note. File three copies of this form, one of which must be manually signed. Page 2 If space provided is insufficient, see Instruction 6 for procedure.
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