0001181431-12-059904.txt : 20121121 0001181431-12-059904.hdr.sgml : 20121121 20121121115732 ACCESSION NUMBER: 0001181431-12-059904 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121120 FILED AS OF DATE: 20121121 DATE AS OF CHANGE: 20121121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPENCER EDWARD L JR CENTRAL INDEX KEY: 0001195603 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26486 FILM NUMBER: 121220224 MAIL ADDRESS: STREET 1: 100 NORTH GAY STREET STREET 2: PO BOX 3110 CITY: AUBURN STATE: AL ZIP: 36830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AUBURN NATIONAL BANCORPORATION, INC CENTRAL INDEX KEY: 0000750574 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 630885779 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 N GAY ST STREET 2: P O DRAWER 3110 CITY: AUBURN STATE: AL ZIP: 36831-3110 BUSINESS PHONE: 3348219200 MAIL ADDRESS: STREET 1: 100 NORTH GAY STREET STREET 2: P O DRAWER 3110 CITY: AUBURN STATE: AL ZIP: 36831 FORMER COMPANY: FORMER CONFORMED NAME: AUBURN NATIONAL BANCORPORATION INC DATE OF NAME CHANGE: 19950124 4 1 rrd361128.xml X0306 4 2012-11-20 0 0000750574 AUBURN NATIONAL BANCORPORATION, INC AUBN 0001195603 SPENCER EDWARD L JR 1230 WEST THACH AUBURN AL 36830 1 0 1 0 common stock 2012-11-20 4 P 0 663 21.98 A 433494 D common stock 2012-11-20 4 P 0 300 21.99 A 433794 D common stock 18950 I spouse common stock 45925 I 3 year GRAT dated 12-23-09 common stock 84847 I 5 year GRAT dated 12-23-09 common stock 105741 I 8 year GRAT dated 12-23-09 common stock 42527 I 5 year GRAT dated 1-31-11 common stock 3020 I EL Spencer, Jr. Foundation 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. Shares 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. /s/ Edward L Spencer, Jr 2012-11-21