0001209191-15-043438.txt : 20150515 0001209191-15-043438.hdr.sgml : 20150515 20150515175237 ACCESSION NUMBER: 0001209191-15-043438 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150514 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150515 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: 15871250 MAIL ADDRESS: STREET 1: 100 NORTH GAY STREET STREET 2: PO BOX 3110 CITY: AUBURN STATE: AL ZIP: 36830 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-05-14 0 0000750574 AUBURN NATIONAL BANCORPORATION, INC AUBN 0001195603 SPENCER EDWARD L JR P. O. BOX 3110 AUBURN AL 36831-3110 1 0 1 1 Chairman of Board common stock 599343 D common stock 18950 I spouse common stock 2015-05-14 5 G 0 E 13764 0.00 D 0 I 5 year GRAT dated 12-23-09 common stock 78845 I 8 year GRAT dated 12-23-09 common stock 20877 I 5 year GRAT dated 1-31-11 common stock 3440 I E. L. Spencer, Jr. Foundation Reflects a reduction of 420 shares of AUBN common stock from shares previously reported as directly owned due to administrative error. Also includes 47,188 shares of AUBN common stock previously reported as indirectly owned through various grantor retained annuity trusts, which shares have been distributed to Mr. Spencer pursuant to the terms of those trusts. Also reflects the distribution of 27,716 shares of AUBN common stock from the trust to Mr. Spencer pursuant to the terms of the trust, which shares are now reflected as directly owned by Mr. Spencer 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 any shares of AUBN common stock in this trust. Reflects the distribution of 10,930 shares of AUBN common stock from the trust to Mr. Spencer pursuant to the terms of the trust, which shares are now reflected as directly owned by Mr. Spencer. Shares of AUBN common stock are held by 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. Reflects the distribution of 8,542 shares of AUBN common stock from the trust to Mr. Spencer pursuant to the terms of the trust, which shares are now reflected as directly owned by Mr. Spencer. 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. Reflects an additional 420 shares of AUBN common stock from shares previously reported as indirectly owned due to administrative error. 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. Edward L. Spencer, Jr. 2015-05-15