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