0001181431-13-058977.txt : 20131114 0001181431-13-058977.hdr.sgml : 20131114 20131114154457 ACCESSION NUMBER: 0001181431-13-058977 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131113 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AUBURN NATIONAL BANCORPORATION, INC CENTRAL INDEX KEY: 0000750574 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 630885779 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 N GAY ST STREET 2: P O DRAWER 3110 CITY: AUBURN STATE: AL ZIP: 36831-3110 BUSINESS PHONE: 3348219200 MAIL ADDRESS: STREET 1: 100 NORTH GAY STREET STREET 2: P O DRAWER 3110 CITY: AUBURN STATE: AL ZIP: 36831 FORMER COMPANY: FORMER CONFORMED NAME: AUBURN NATIONAL BANCORPORATION INC DATE OF NAME CHANGE: 19950124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPENCER EDWARD L JR CENTRAL INDEX KEY: 0001195603 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26486 FILM NUMBER: 131219710 MAIL ADDRESS: STREET 1: 100 NORTH GAY STREET STREET 2: PO BOX 3110 CITY: AUBURN STATE: AL ZIP: 36830 4 1 rrd395437.xml X0306 4 2013-11-13 0 0000750574 AUBURN NATIONAL BANCORPORATION, INC AUBN 0001195603 SPENCER EDWARD L JR 1230 WEST THACH AUBURN AL 36830 1 0 1 0 common stock 2013-11-13 4 P 0 415 24.99 A 552575 D common stock 18950 I spouse common stock 41480 I 5 year GRAT dated 12-23-09 common stock 89775 I 8 year GRAT dated 12-23-09 common stock 29419 I 5 year GRAT dated 1-31-11 common stock 3020 I EL Spencer, Jr. Foundation Shares of AUBN common stock are held by the E.L. Spencer, Jr. Grantor Retained Annuity Trust dated 12-23-09. Mr. Spencer is trustee of the trust and has sole voting and dispositive power with respect to these shares of AUBN common stock. Shares of AUBN common stock are held by the E.L. Spencer, Jr. Grantor Retained Annuity Trust dated 12-23-09. Mr. Spencer is trustee of the trust and has sole voting and dispositive power with respect to these shares of AUBN common stock. Shares of AUBN common stock are held by the E.L. Spencer, Jr. Grantor Retained Annuity Trust dated 1-31-11. Mr. Spencer is trustee of the trust and has sole voting and dispositive power with respect to these shares of AUBN common stock. Shares of AUBN common stock are held by the E.L. Spencer, Jr. Foundation, a company in which Mr. Edward L. Spencer, Jr. is President, as to which Mr. Edward L. Spencer, Jr. may be deemed to have shared voting and investment power. /s/ Edward L Spencer, Jr 2013-11-14