-----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, BgUOzkBXUhMBzpNNxRYkYqQLuMNh6ogawtqg20Fc5tyzVllUdI9TXJoMtd97gLIu xLdCdTcYaJlNPZM9trkbcA== 0000931763-99-000290.txt : 19990208 0000931763-99-000290.hdr.sgml : 19990208 ACCESSION NUMBER: 0000931763-99-000290 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990205 GROUP MEMBERS: BETTY T. MCMAHON GROUP MEMBERS: C. PHILLIP MCWANE GROUP MEMBERS: G. RUFFNER PAGE, JR. GROUP MEMBERS: JOHN H. HOLCOMB, III GROUP MEMBERS: JOHN J. MCMAHON JR. GROUP MEMBERS: NICHOL VICTOR E JR GROUP MEMBERS: VICTOR E. NICHOL, JR. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALABAMA NATIONAL BANCORPORATION CENTRAL INDEX KEY: 0000926966 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 631114426 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-50277 FILM NUMBER: 99522769 BUSINESS ADDRESS: STREET 1: 1927 FIRST AVENUE NORTH CITY: BIRMINGHAM STATE: AL ZIP: 35209 BUSINESS PHONE: 2055833600 MAIL ADDRESS: STREET 1: 1927 FIRST AVENUE NORTH STREET 2: 1927 FIRST AVENUE NORTH CITY: BIRMINGHAM STATE: AL ZIP: 35209 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NICHOL VICTOR E JR CENTRAL INDEX KEY: 0001078237 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 419600014 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1927 FIRST AVENUE N CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 2055833650 MAIL ADDRESS: STREET 1: 1927 FIRST AVENUE N STREET 2: 1927 FIRST AVENUE N CITY: BIRMINGHAM STATE: AL ZIP: 35203 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ================== SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(B), (C), AND (D) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 4)/1/ Alabama National BanCorporation (Name of Issuer) Common Stock (Title of Class of Securities) 010317105 (CUSIP Number) February 5, 1998 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13-d-1(c) [X] Rule 13-d-1(d) ___________________ /1/ 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 disclosure 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). - ----------------------- CUSIP NO. 010317105 13G - ----------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON G. Ruffner Page, Jr. (Individually; as sole trustee for the Anna McWane Trust and the J.R. McWane, Jr. Trust; as Custodian for the minor children of Mr. Page; and as custodian for the minor children of C. Philip McWane) - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 335,458 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY -0- ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 328,415 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 353,067 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 3.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ 2 - ----------------------- CUSIP NO. 010317105 13G - ----------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON C. Phillip McWane - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 406,755 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 10,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 406,755 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 10,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 406,755 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 3.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ 3 - ----------------------- CUSIP NO. 010317105 13G - ----------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Betty T. McMahon - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 96,830 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 300,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 96,830 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 300,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 396,830 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 3.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ 4 - ----------------------- CUSIP NO. 010317105 13G - ----------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John J. McMahon, Jr - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 18,170 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 300,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 18,170 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 300,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 318,170 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 2.9% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ 5 - ----------------------- CUSIP NO. 010317105 13G - ----------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John H. Holcomb, III - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 73,464 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY -0- ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 52,826 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 91,073 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ 6 - ----------------------- CUSIP NO. 010317105 13G - ----------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Victor E. Nichol, Jr. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 95,593 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY -0- ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 88,043 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 99,116 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.9% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ 7 ANB SCHEDULE 13G ---------------- ITEM 1. (a) Name of Issuer. Alabama National BanCorporation (b) Address of Issuer's Principal Executive Offices. 1927 First Avenue North Birmingham, Alabama 35203 ITEM 2. (a) Name of Person Filing. Incorporated by reference to Item 1 of cover pages. (b) Address of Principal Business Office, or if None, Residence. G. Ruffner Page, Jr. 30 Fairway Drive Birmingham, AL 35213 C. Phillip McWane 2900 Highway 280, Suite 300 Birmingham, AL 35223 Betty T. McMahon 2140 Warwick Drive Birmingham, AL 35209 John J. McMahon, Jr. 2900 Highway 280, Suite 300 Birmingham, AL 35223 John H. Holcomb, III 1927 First Avenue North Birmingham, AL 35203 Victor E. Nichol, Jr. 1927 First Avenue North Birmingham, AL 35203 (c) Citizenship Incorporated by Reference from Item 4 of the Cover Pages. 8 (d) Title of Class of Securities Incorporated by Reference from Cover Page. (e) CUSIP Number Incorporated by Reference from Cover Page. ITEM 3. Not Applicable. ITEM 4. (a) Amount Beneficially Owned Incorporated by Reference from Item 9 of Cover Pages. (b) Percent of Class Incorporated by Reference from Item 11 of Cover Pages. (c) Number of Shares as to Which Such Person has: (i) Sole Power to Vote or Direct the Vote. Incorporated by Reference from Item 5 of Cover Pages. (ii) Shared Power to Vote or to Direct the Vote. Incorporated by Reference from Item 6 of Cover Pages. (iii) Sole Power to Dispose or to Direct the Disposition of Incorporated by Reference from Item 7 of Cover Pages. (iv) Shared Power to Dispose or to Direct the Disposition of Incorporated by Reference from Item 8 of Cover Pages. ITEM 5. Ownership of Five Percent (5%) or Less of a Class. Not Applicable. ITEM 6. Ownership of More than Five Percent (5%) on Behalf of Another Person. With respect to the beneficial ownership reported for G. Ruffner Page, Jr., 88,775 shares (0.8%) are held in trust for the benefit of J. R. McWane, Jr., and 9 187,995 shares (1.7%) are held in trust for the benefit of Anna McWane. The Trusts have the right to receive the dividends from, and the proceeds from the sale of Alabama National BanCorporation Common Stock held by such Trusts. In addition, Mr. Page acts as custodian for Mr. Page's three minor children with respect to 1,500 shares (0%), and acts as custodian with respect to the three minor children of Phillip McWane for 14,928 shares (0.1%). With respect to the beneficial ownership reported for C. Phillip McWane, 10,000 shares (0.1%) are held in a family limited partnership pursuant to which Mr. McWane and his spouse have the right to receive dividends from, and the proceeds from the sale of, Alabama National BanCorporation Common Stock upon dissolution of said partnership. Also, 174,070 shares (1.6%) are held by the estate of James R. McWane, of which C. Phillip McWane is the executor. With respect to the beneficial ownership reported for Betty T. McMahon and John J. McMahon, Jr., 300,000 shares (2.7%) are held in a family partnership pursuant to which each of them and their three adult children and the spouses of two of those children have the right to receive dividends from, and the proceeds from the sale of, Alabama National BanCorporation Common Stock upon dissolution of said partnership. With respect to the beneficial ownership reported for John H. Holcomb, III, Mr. Holcomb holds proxies with respect to 13,088 shares (0.1%). The grantors of said proxies have the right to receive the dividends from, and the proceeds from the sale of Alabama National BanCorporation Common Stock subject to such proxies. With respect to the beneficial ownership reported for John J. McMahon, Jr., 15,000 shares (0.1%) are held in trusts which have the right to receive the dividends from, and the proceeds from the sale of Alabama National BanCorporation Common Stock held by such trusts. ITEM 7. Identification and Classification of the Subsidiary which Acquired the Security being Reported on by the Parent Holding Company. Not Applicable. ITEM 8. Identification and Classification of Members of the Group. The members of the group filing this Schedule 13G are identified by reference to the cover pages. 10 ITEM 9. Notice of Dissolution of Group. Not Applicable. ITEM 10. Certification. Not Applicable. 11 SIGNATURE --------- 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. February 5, 1999 --------------------------------- Date /s/ G. Ruffner Page, Jr. --------------------------------- G. Ruffner Page, Jr. 12 SIGNATURE --------- 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. February 5, 1999 --------------------------------- Date /s/ C. Phillip McWane --------------------------------- C. Phillip McWane 13 SIGNATURE --------- 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. February 5, 1999 --------------------------------- Date /s/ Betty T. McMahon --------------------------------- Betty T. McMahon 14 SIGNATURE --------- 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. February 5, 1999 --------------------------------- Date /s/ John J. McMahon, Jr. --------------------------------- John J. McMahon, Jr. 15 SIGNATURE --------- 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. February 5, 1999 --------------------------------- Date /s/ John H. Holcomb, III --------------------------------- John H. Holcomb, III 16 SIGNATURE --------- 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. February 5, 1999 --------------------------------- Date /s/ Victor E. Nichol, Jr. --------------------------------- Victor E. Nichol, Jr. 17 -----END PRIVACY-ENHANCED MESSAGE-----