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
  1. 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.
  2. 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.
  3. 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.
  4. 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.