Filing Details
- Accession Number:
- 0001181431-11-036982
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-16 16:51:24
- Reporting Period:
- 2011-06-15
- Filing Date:
- 2011-06-16
- Accepted Time:
- 2011-06-16 16:51:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 750574 | Auburn National Bancorporation Inc | AUBN | State Commercial Banks (6022) | 630885779 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1195603 | Jr L Edward Spencer | 1230 West Thach Auburn AL 36830 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-06-15 | 700 | $19.60 | 365,291 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-06-15 | 200 | $19.59 | 365,491 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-06-15 | 100 | $19.58 | 365,591 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-06-15 | 200 | $19.59 | 18,500 | No | 4 | P | Indirect | spouse |
| Common Stock | Acquisiton | 2011-06-15 | 50 | $19.60 | 18,550 | No | 4 | P | Indirect | spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | spouse |
| No | 4 | P | Indirect | spouse |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 85,154 | Indirect | 3 year GRAT dated 12-23-09 |
| Common Stock | 102,361 | Indirect | 5 year GRAT dated 12-23-09 |
| Common Stock | 111,598 | Indirect | 8 year GRAT dated 12-23-09 |
| Common Stock | 47,687 | Indirect | 5 year GRAT dated 1-31-11 |
Footnotes
- Shares of AUBN common stock are held by the 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.
- Shares of AUBN common stock are held by the 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.
- Shares of AUBN common stock are held by the 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.
- 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.
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