SEC Form 4 · accession 0001209191-17-022995
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
Nov 8, 2016
Accepted (ET)
Mar 27, 2017 · 5:49 pm EDT
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 stockF1 | Nov 8, 2016 | G | 1,838 | $0.00 | D | 634,206 | D | |
| common stock | holding | — | — | — | 18,950 | I | spouse | |
| common stockF2 | holding | — | — | — | 51,615 | I | 8 year GRAT dated 12-23-09 | |
| common stockF3 | holding | — | — | — | 24,745 | I | By revocable trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects donation of 1,838 shares of AUBN common stock to the E. L. Spencer, Jr. Foundation, a tax-exempt foundation of which the reporting person has no pecuniary interest.
- 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 held by a 2008 revocable trust established for the benefit of the reporting person. The reporting person is the trustee of the trust and has sole voting and dispositive power with respect to these shares.