SEC Form 4 · accession 0001209191-15-082787
AUBURN NATIONAL BANCORPORATION, INC · AUBN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward L Spencer Jr.
Director · 10% Owner · Other
Period of report
Dec 2, 2015
Accepted (ET)
Dec 2, 2015 · 2:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000750574
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stock | Dec 2, 2015 | G | 425 | $0.00 | D | 598,918 | D | |
| common stockF1 | Dec 2, 2015 | G | 425 | $0.00 | A | 3,865 | I | E. L. Spencer, Jr. Foundation |
| common stock | holding | — | — | — | 18,950 | I | spouse | |
| common stockF2 | holding | — | — | — | 78,845 | I | 8 year GRAT dated 12-23-09 | |
| common stockF3 | holding | — | — | — | 20,877 | I | 5 year GRAT dated 1-31-11 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares 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.
- F2Shares 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.
- F3Shares 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.