-----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, Uj1QwJnJHWtIwKNSoWaAjpjX4fAbAOilmhM0neVjkR8wv2Pudk560X5jJq9UJSOT LZIrgjqpDbJP7pEya4G4RQ== 0001193125-05-175366.txt : 20050826 0001193125-05-175366.hdr.sgml : 20050826 20050826151835 ACCESSION NUMBER: 0001193125-05-175366 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050826 ITEM INFORMATION: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20050826 DATE AS OF CHANGE: 20050826 FILER: 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-25160 FILM NUMBER: 051051863 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 8-K 1 d8k.htm FORM 8-K Form 8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 


 

FORM 8-K

 


 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): August 26, 2005

 


 

ALABAMA NATIONAL BANCORPORATION

(Exact Name of Registrant as Specified in its Charter)

 


 

Delaware   0-25160   63-1114426
(State of Incorporation)   (Commission File Number)   (IRS Employer Identification Number)

 

1927 First Avenue North, Birmingham, Alabama 35205

(Address of principal executive offices, including zip code)

 

(205) 583-3600

(Registrant’s telephone number, including area code)

 


 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17CFR 240.13e-4(c))

 



Item 5.04. Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.

 

On June 22, 2005, Alabama National BanCorporation (the “Company”) filed a Current Report on Form 8-K regarding a temporary suspension of trading (the “Blackout Period”) under the Alabama National BanCorporation Employee Capital Accumulation Plan (the “Plan”), a 401(k) plan sponsored by the Company. The reason for the Blackout Period was to transition, on or about August 1, 2005, the investment and recordkeeping services associated with the Plan to Fidelity Investments and the trustee services associated with the Plan to Fidelity Management Trust Company.

 

The Company originally communicated to its directors and executive officers that the end of the Blackout Period would be August 31, 2005; however, Fidelity Investments and Fidelity Management Trust Company accomplished the transition earlier than expected, and the blackout period ended on August 24, 2005. The Company notified its directors and executive officers of the change in the ending date of the Blackout Period on August 26, 2005. Attached hereto as Exhibit 99.1 and incorporated by reference herein is a copy of the notice provided to the Company’s directors and executive officers.

 

Other than the earlier ending date for the Blackout Period, there are no material changes to the information contained in the Current Report on Form 8-K filed on June 22, 2005.

 

Inquiries concerning the Blackout Period should be directed to Kimberly Moore, Senior Vice President of the Company and Plan Administrator of the Plan, by telephone at (205) 583-3738 or by mail at Alabama National BanCorporation, 1927 First Avenue North, Birmingham, Alabama 35205.

 

Item 9.01. Financial Statements and Exhibits.

 

(c) Exhibits.

 

Exhibit
Number


 

Exhibit


99.1   Notice of Change in the Blackout Period to Directors and Executive Officers of Alabama National BanCorporation, dated August 26, 2005


SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Alabama National Bancorporation

By:

 

/s/ William E. Matthews, V


    William E. Matthews, V
    Executive Vice President and Chief Financial Officer

 

Dated: August 26, 2005


INDEX TO EXHIBITS

 

Exhibit
Number


 

Exhibit


99.1   Notice of Change in the Blackout Period to Directors and Executive Officers of Alabama National BanCorporation, dated August 26, 2005
EX-99.1 2 dex991.htm NOTICE OF CHANGE IN THE BLACKOUT PERIOD TO DIRECTORS AND EXECUTIVE OFFICERS Notice of Change in the Blackout Period to Directors and Executive Officers

EXHIBIT 99.1

 

MEMORANDUM

 

TO:    Directors and Executive Officers of Alabama National BanCorporation
FROM:    Kimberly Moore
DATE:    August 26, 2005
RE:    Notice of Change in the Blackout Period with Respect to Trading of Common Stock of Alabama National BanCorporation

 

The purpose of this notice is to inform you of a change in the ending date of the blackout period associated with the transition of trustee, investment, and recordkeeping services for the Alabama National BanCorporation Employee Capital Accumulation Plan (the “Plan”) to Fidelity Management Trust Company and Fidelity Investments. As a result of the transition, a blackout period was imposed on participants’ transactions in the Plan in order to allow for the transfer and reinvestment of the Plan’s assets. Since participants could not engage in transactions with respect to their Plan accounts during the blackout period, the securities laws prohibited you, as an insider, from purchasing, selling, or otherwise acquiring or transferring certain equity securities of Alabama National during the blackout period.

 

It was originally communicated to you that the end of the blackout period would be August 31, 2005; however, we are happy to report that Fidelity Management Trust Company and Fidelity Investments accomplished the transition earlier than expected, and the blackout period ended on August 24, 2005. Therefore, you can now resume purchasing, selling, or otherwise acquiring or transferring any equity securities of Alabama National, so long as such transactions comply with Alabama National’s insider trading policy.

 

Other than the earlier ending date for the blackout period, there are no material changes to the information contained in the prior blackout period notice dated June 22, 2005.

 

This notice is provided to you pursuant to the requirements of Rule 104 of Regulation BTR promulgated under the Securities Exchange Act of 1934 and Section 306(a) of the Sarbanes-Oxley Act of 2002.

 

If you have any questions concerning the change in the blackout period, please contact Kimberly Moore, Senior Vice President and Plan Administrator, by telephone at (205) 583-3738, by email at kmoore@access-bank.com, or by mail at Alabama National BanCorporation, 1927 First Avenue North, Birmingham, Alabama 35203.

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