-----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, DZaNc3Yt0tceTvXKRdHWKvbGYhI4nsRDtaX3nY9wtaEuLe8mTnwciHoa/I9njJz+ TuQeTxSU6XFVaNdKDSdtTA== 0000950123-04-007071.txt : 20040603 0000950123-04-007071.hdr.sgml : 20040603 20040603171207 ACCESSION NUMBER: 0000950123-04-007071 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040603 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Abplanalp Josephine CENTRAL INDEX KEY: 0001292338 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: BUSINESS PHONE: 914-961-6100 MAIL ADDRESS: STREET 1: HUDSON VALLEY HOLDING CORP. STREET 2: 21 SCARSDALE ROAD CITY: YONKERS STATE: NY ZIP: 10707 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HUDSON VALLEY HOLDING CORP CENTRAL INDEX KEY: 0000722256 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 133148745 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-59317 FILM NUMBER: 04847824 BUSINESS ADDRESS: STREET 1: 21 SCARSDALE ROAD CITY: YONKERS STATE: NY ZIP: 10707 BUSINESS PHONE: 9149616100 MAIL ADDRESS: STREET 1: 21 SCARSDALE ROAD CITY: YONKERS STATE: NY ZIP: 10707 SC 13D 1 y97990sc13d.txt ORIGINAL FILING ON SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Hudson Valley Holding Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $0.20 Per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) None - -------------------------------------------------------------------------------- (CUSIP Number) Mr. Stephen R. Brown Bonnie J. Roe, Esq. Hudson Valley Holding Corp. Day, Berry & Howard LLP 21 Scarsdale Road One Canterbury Green Yonkers, New York 10707 Stamford, CT 06901 (914) 961-6100 (203) 977-7300 (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) January 13, 2004 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See 240.13d-7 for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. (Continued on the following pages) (Page 1 of 5 Pages) The information required on 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. None. - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Josephine Abplanalp - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 15,538 BENEFICIALLY ------------------------------------------------- OWNED BY EACH 8 SHARED VOTING POWER REPORTING 693,302 PERSON ------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 15,538 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 693,302 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 708,840 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.65% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- (Page 2 of 5 Pages) Item 1. Security and Issuer. The class of equity securities to which this Statement on Schedule D relates is the common stock, par value $0.20 per share (the "Common Stock"), of Hudson Valley Holding Corp., a New York corporation ("Hudson Valley"). Hudson Valley's principal executive offices are located at 21 Scarsdale Road, Yonkers, New York 10707. Item 2. Identity and Background: (a) The Reporting Person is Josephine Abplanalp. (b) The residence address of the Reporting Person is 700 Nepperhan Avenue, Yonkers, New York 10702. (c) The Reporting Person is not employed. (d) The Reporting Person has not been convicted in a criminal proceeding during the last five years. (e) The Reporting Person, during the last five years, was not a party to any civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) The Reporting Person is a citizen of the United States of America. Item 3. Source and Amount of Funds or Other Consideration. Date Number of Shares ---- ---------------- November 14, 2003 109,763 November 24, 2003 3,381 December 17, 2003 11,314 January 13, 2004 456,904 February 2, 2004 40,715 April 27, 2004 35,420 May 19, 2004 35,806 The Reporting Person is the widow of Robert H. Abplanalp and holds 15,538 shares of Common Stock in her own name. On September 16, 2003, the Reporting Person, along with William E. Griffin, John P. Abplanalp and Marie A. Holcombe, became a co-executor of the Estate of Robert H. Abplanalp (the "Estate") and a joint beneficial owner of the 109,763 shares of Common Stock held in the Estate. On November 24, 2003, December 17, 2003, January 13, 2004 February 2, 2004, April 27, 2004 and May 19, 2004 the Estate received a distribution of 3,381 shares, 11,314 shares due to allocation of 10% stock dividend, 456,903 shares 40,715 shares, 35,420 shares and 35,806 shares of Common Stock, respectively, from a Grantor Retained Annuity Trust (the "GRAT") originally established for the (Page 3 of 5 Pages) benefit of Robert H. Abplanalp. The trustees of the GRAT were William E. Griffin, John P. Abplanalp and Marie A. Holcombe. There was no consideration for the distribution of the shares from the GRAT to the Estate. Item 4. Purpose of Transaction. The Reporting Person does not currently intend to exercise her duties as a co-executor for the purpose of implementing any plans or proposals which relate to, or would result in, any of the actions specified in clauses (b) through (j) of Item 4 of Schedule 13D. Item 5. Interest in Securities of the Issuer. (a) - (b) The table below sets forth the information required in (a) and (b) of this Item 5 as of the date of the filing of this Schedule 13D:
Name Number of Shared Voting Shared Sole Voting Shares Power Investment Power Beneficially Power Owned - -------------------------------------------------------------------------------- Hudson Valley 708,840 693,302 693,302 15,538
(c) Not applicable. (d) As a co-executor of the Estate, the Reporting Person has shared voting and investment power over all 693,302 shares held by the Estate. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. Not applicable. Item 7. Material to be Filed as Exhibits. Not applicable. (Page 4 of 5 Pages) 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. Dated: June 3, 2004 /s/Josephine Abplanalp -------------------------- Josephine Abplanalp (Page 5 of 5 Pages) -----END PRIVACY-ENHANCED MESSAGE-----