G.16 Summary of Equity Security Transactions and … · Summary o£ Equity Security Transactions...
Transcript of G.16 Summary of Equity Security Transactions and … · Summary o£ Equity Security Transactions...
G.16
BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM Washington,D. C. 20551
Summary o£ Equity Security Transactions and Ownership of Directors, Officers, and Principal Stockholders of Member State Banks
as Reported Pursuant to Section 16(a) of the Securities Exchange Act of 1934
December 1968.
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EXPLANATORY NOTE
Information in this Summary has been drawn from reports on Form F-8 , "Statement of Changes in Beneficial Ownership of Securities," filed with the Board of Governors of the Federal Reserve System. In
the interest of simplification, the Summary omits reported data with
respect to initial holdings (reported on Form F-7), purchases and sales
ag8 reSat*-nS less than 50 shares during the month for which the report is filed, stock splits, stock dividends, rights, and gifts. The underlying reports may be inspected at the Federal Deposit Insurance Corporation Building, 550 17th Street, N. W., Washington, D. C. Publication of this information is in no sense a representation that it is correct or
complete.On the following pages, the name of the bank is followed by
the name of the person reporting and his relationship to the bank.Unless otherwise indicated, all transactions involve the bank's common stock. Any indirect interest (through holding companies, partnerships, trusts, family ownership, etc.) is shown below the direct interest.Symbols indicate the nature of the transactions, if other than a purchase or sale, and the nature of ownership, if other than direct (see "Guide to Symbols" below).
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GUIDE TO SYMBOLS
Reference to these symbols is essential for a full and accurate interpretation of the data reported
RELATIONSHIP"0" - OfficerMDn - Director or person performing similar functions "B" - Beneficial owner of more than 10 per cent of any registered
equity security of the bank "V" - Voting trustee "T" - Trustee"M" - Member of advisory board or honorary director
CHARACTER OF TRANSACTIONNo symbol - Purchase or Sale"B" - Bequest or Inheritance"C" - Compensation"D" - Distribution"E" - Exchange or Conversion"F" - Exercise of rights"G" - Gift"S" - Stock dividend or stock split "X" - Exercise of option
NATURE OF OWNERSHIPNo symbol - Securities are beneficially owned directly."I" - Securities are directly held, but reporter disclaims any
admission that he is the beneficial owner of the securities. "2" - Securities are beneficially owned indirectly through a holding
company, partnership, trust, or other intermediary; figures reported represent the TOTAL transactions and holdings of the intermediary.
M3M - Same as in "2," except that reporter disclaims any admission that he is the beneficial owner of the securities.
"4" - Securities are beneficially owned indirectly through a holding company, partnership, trust, or other intermediary; figures reported represent the PROPORTIONATE interest of the reporter.
M5M - Same as ,,4," except that reporter disclaims any admission that he is the beneficial owner of the securities.
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TRANSACTIONS AND MONTH-END OWNERSHIP
Reports included in this summary were filed with the Board of Governors of the Federal Reserve System during the period from
December 11, 1968 to January 10, 1969IMPORTANT - See Guide to Symbols on preceding page.
BANK
REPORTING PERSON
INDIRECT ACCOUNT
RELATIONSHIP
DATEOF
TRANSACTIONTRANSACTION AND OWNERSHIP SYMBOL
AGGREGATETRANSACTIONS
MONTH-ENDOWNERSHIP
Bought or Otherwise Acquired
Sold or Otherwise Disposed of
BANK OF DEARBORN (Michigan)Frank B. Holbrook D 1 2- 5-68 410 9 510Jo Ralph Wagner OD 12- 5-68 410 1,097
2 3BANK OF DELAWARE (Wilmingtc n)Eugene R. Perry D 9-24-68 100 166
JTWROS 51THE BANK OF WOOD COUNTYCOMPANY (Bowling Green, Ohi °)William F. Schmeltz D 450Wife 4-29-68 3 61 351Family 3 44
Paul V. Rockwell OD 5-11-68 200 2,800Wife 3 231
BEAVER TRUST COMPANY (Pa.)Stewart P, McConnel D 8-1 2 -6 8 100 1,195
2 573THE CENTRAL TRUST COMPANY(Cincinnati, Ohio)Oliver W. Birckhead OD 4- 1-68 300 450Charles W, McBride Jr, 0 12-17-68 X 100 125Earl J. Raible 0 12-17-68 150 303Member of household 3 100
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BANK
REPORTING PERSON
INDIRECT ACCOUNT
relationship
DATEOF
TRANSACTION
TRANSACTION AND OWNERSHIP SYMBOL
AGGREGATETRANSACTIONS
MONTH-ENDOWNERSHIP
Bought or Otherwise Acquired
Sold or Otherwise Disposed of
CHEMICAL BANK NEW YORK TRUSTCOMPANY (New York Citv)
Harvey A. Basham, Jre 0 12-13-68 X 1 ,2 0 0 1,350George Wo Cox, Jrc 0 1 2- 5-68 X 1,800 1,800Robert Lee Cushing * 0 1 2- 3-68 X 1,500 2 ,0 0 0
Donald Co Patterson 0 1 2-1 1 -6 8 1,800 2,090John Go Riddell * 0 1 2- 6 - 6 8 X 1,950 1,950Keith Mo Urmy ** 0 1 2- 6 - 6 8 X 3,500 4,400
* Amended Report** In addition the above perse>n
continues to own $3,600 of5% convertible capital note S o
CITIZENS COMMERCIAL & SAVINGS 1
BANK (Flint, Michigan)J. R. Burroughs OD 16,000Wife 2 641Trusts 9- 9-68 2 250 8,983
David To Dort D 11-29-68 400 840Lyle So Knopf D 12-1 1 -6 8 94 539
Joint with wife 55THE COLONIAL BANK AND TRUSTCOMPANY (Waterbury, Conn.)
Sherman R. Buell 0 12- 9-68 * 271% 1,261%2 26
A Edwards Danforth 0 12- 9-68 * 270 270David S. Hart D 332
1 2- 6 -6 8 2 50 140Robert No Whittemore D 200Corporation 1 2- 6 - 6 8 2 * 720 28,390Wife 2 30
* Acquired in merger withLitchfield County National Baiik
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P> iri>M 2 5 AGGREGATE
BANK HM po c /a c /a > ..TRANSACTIONSoz X o M H
REPORTING PERSON c /aX DATE ■ ■ d M
O Bought or Sold orw*T3 OF C/a 2 2 Otherwise Otherwise MONTH-ENDINDIRECT ACCOUNT TRANSACTION 3 5 !>
W Z Acquired Disposed of OWNERSHIP
COMMERCE UNION BANK (Nashville, Tennessee)Morris Moughon D 1 1- 4-68 5,160 7,000Edward G. Nelson D 6- 7-68 44 *
9-11-68 8 ,0 0 01 1-2 0 - 6 8 160 * 8,204
Edward Potter, Jr. OD 1 1- 4-68 915 68,673Stock Purchase Plan 1 1- 1 -6 8 2 11 459
* Acquired through StockPurchase Plan
EWING BANK AND TRUST COMPANY(Trenton, New Jersey)Robert David Carr OD 11- 25-68
1 2- 2 0 - 6 8 3601 ,0 0 0
35,360Wife 1 2-2 0 - 6 8 10 1 ,0 1 0
FIDELITY BANK (Beverly Hills, California)Robert F. Driver D 11-26-68 2 ,0 0 0 2,107
THE FIFTH THIRD UNION TRUST COMPANY (Cincinnati, Ohio)
Glenn A. Biggs 0 1 1-2 1 - 6 8 501 1-2 2 -6 8 100 726
2 1
James A. Markley, Jr. 0 12- 5-68 X 100 168Wife 2 55
Donald G. Pepper 0 12-26-68 300 300FIRST BANK AND TRUST COMPANY OF HAMPDEN COUNTY (Springfield, Massachusetts.]
Herbert P. Almgren 0 1 1- 1 -6 8 1 ,0 0 01 1-1 2 -6 8 100 3,100
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BANK
REPORTING PERSON
INDIRECT ACCOUNT
DATEOF
TRANSACTION
i
W ss •x* ca
" fcH »T3 M
C/5 §
2*03 53
2 *
AGGREGATE______ TRANSACTIONSBought or Otherwise Acquired
Sold or Otherwise Disposed of
MONTH-ENDOWNERSHIP
608130
11,188
100 4,773
75 50050 100
2,727 2,727 **2,171
702 702 ** 4,059
55 5,0055 19,958
$ 5,200 $ 5,200
THE FIRST PENNSYLVANIA BANKIIG AND TRUST COMPANY (Philadelphia
Employees 1 Profit-Sharing Plan
FIRST TRUST & DEPOSIT COMPANY (Syracuse, New York)_______
10-16-6810- 17-6811- 1-68
William P0 TolleyGIRARD TRUST BANK (Philadelphia, Pennsylvania)
12- 20-68
George H. Brown, Jrc Randall E. Copeland
HANCOCK BANK AND TRUST COMPA1 (Quincy, Massachusetts)
ODD|Y
12-26-687-11-68
11- 20-6811- 22-68
Jo Brooks Robbie * *Sheppard Investors, Inc«
* Amended Report ** Transferred to a nominee
Dunlap & Co®HARRIS TRUST AND SAVINGS BANK (Chicago, Illinois)
Stanley Go Harris, Jr„ * OD 12-19-68 As trustee 12-10-68
* In addition the above perse continues to own $50,000 o 5% convertible capital not^s
THE HARTER BANK AND TRUST COMPANY (Canton, Ohio)
5k% Convertible Capital Notes Sara S« (Stolberg) Bartolet 0 12-24-68
* In addition the above persejncontinues to own previous reported shares or common jJto4k
22
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BANK
REPORTING PERSON
INDIRECT ACCOUNT
RELATIONSHIP DATEOF
TRANSACTION
TRANSACTION AND OWNERSHIP SYMBOL
AGGREGATETRANSACTIONS
fTH-ENDJERSHIP
Bought or Otherwisc Acquired
Sold or Otherwise Disposed of
M010W1
THE HARTER BANK AND TRUSTCOMPANY (continued)
Convertible Capital No :esStephen J. Cable * D 12-24-68 F $ 700 $ 700Richard H. Davis * OD 12-24-68 F $ 2 ,0 0 0 $ 2 ,0 0 0Wife 12-24-68 2F $ 1 ,0 0 0 $ 1 ,0 0 0
T. Raymond Gregory * D 12-24-68 F $ 600 $ 600J. S. Hoover * D 12-24-68 F $ 1 ,0 0 0 $ 1 ,0 0 0
Harold H. Krider * D 12-24-68 F $ 9,300 $ 9,300Wife * 12-24-68 2F $ 6 ,2 0 0 $ 6 ,2 0 0
V. J. Lajeunesse * D 12-24-68 F $ 6,900 $ 6,900Richard E. Lawrence * D 12-24-68 F $ 700 $ 700Felix N. Mansager * D 12-24-68 F $ 1 ,1 0 0 $ 1 ,1 0 0
Curtis Co Martin * OD 12-24-68 F $ 2,500 $ 2,500Wife * 12-24-68 2F $ 900 $ 900
Ao No Prentice * D 12-24-68 F $ 400 $ 400John B. Root * OD 12-24-68 F $ 8,600 $ 8,600Family * 12-24-68 2F $ 1,500 $ 1,500
William K. Riemenschneider D -0 -Wife * 12-24-68 2F $ 2,500 $ 2,500
George W. Seanor * D 12-24-68 F $ 500 $ 500Loren E« Souers * D 12-24-68 . F $ 5,200 $ 5,200Wife * 12-24-68 2F $ 600 $ 600
John M. Tapley * 0 12-24-68 F $ 200 $ 200
R. No Thomas * 0 12-24-68 F $ 500 $ 500Robert F. Vail * D 12-24-68 F $ 600 $ 600
* In addition the above pers<>nscontinue to own previously,reported shares of commonstockDigitized for FRASER
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BANKREPORTING PERSON
INDIRECT ACCOUNT
DATEOF
TRANSACTION
5C <Z> CO >32 qM H TJ MCO §
2CO 2
THE LOUISVILLE TRUST COMPANY
AGGREGATETRANSACTIONS
Bought or Otherwise Acquired
Sold or Otherwise Disposed of
MONTH-ENDOWNERSHIP
(Kentucky)
William L. Jones 0 12-27-68 50 654MANUFACTURERS HANOVER TRUST COMPANY (New York City)Employees' Profit-Sharing Plan 12-13-68
MANUFACTURERS AND TRADERS TRUST COMPANY (Buffalo. N.Y.)Charles W. Millard, Jr. OD 12-23-68
THE MERCHANTS BANK OF NEW YORK (New York City)
Bernice Ahrens 0 3-14-68 8-14-68
1 2- 4-68 12-31-68
5,919 539,126
100 2,564
501005033 887
Lester J. Pincus D 11- 21-68 800 451Spencer B. Witty Wife
D 11-27-6811-27-68
THE MERRILL TRUST COMPANY (Bangor. Maine)__________Charles C. Morris D 10-24-68
2
MORGAN GUARANTY TRUST COMPANf OF NEW YORK (New York City)
Deferred Profit Sharing P I m 12- 1-68
NEW JERSEY BANK AND TRUST COMPANY (Clifton, New Jersey i
John H. Flagg * D
Flagg Foundation, Inc.* In addition the above person
continues to own $6 ,0 0 0 of 5^% convertible capital notes
12-13-6812-16-68
D
2
35050
100
3,122799
2,820
263 31,234
100100 246
612
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PTjITSt-*>
TTPT"Ztn z AGGREGATE
BANK t-H PC C/3 KA > TRANSACTIONSOZ x nM HREPORTING PERSON cnIX DATE ►X M_ o Bought or Sold orM*n OF Cfl 2 Otherwise Otherwise MONTH-END
INDIRECT ACCOUNT TRANSACTION CO 2 Acquired Disposed of OWNERSHIP
OLD KENT BANK AND TRUST COMPANY (Grand Rapids, Mich.Carl H. Morgenstern D 11-18-68 50 4,041
THE OREGON BANK (Portland)Charles Fe Adams OD -0 -Wife 12-27-68 2 750 13,375
Voting Trust (under instruments dated April 1, 1967) T 9-18-68 47,295 * -0 -
* Termination of Voting Trusand distribution to shareholders
PEOPLES TRUST COMPANY OF BERGEN COUNTY (Hackensack,N.,i.)
Francis H. Lanahan D 853Wife 12-17-68 3 200 747
RHODE ISLAND HOSPITAL TRUST COMPANY (Providence)
Co Culver Towle 0 1 2-2 0 - 6 8 50 58Minor child 1 2-2 0 - 6 8 2 7 10
William Wo White OD 2,288Trustee 12-31-68 2 74 99
STo JOSEPH VALLEY BANK (Elkhart, Indiana)J. Robert Wiley D 11-15-68 100 200
SEATTLE TRUST AND SAVINGS BANK (Washington)
John H. Davis D 10-14-68 2001 0-2 2 - 6 8 20010-29-68 100 1,183
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BANK
REPORTING PERSON
INDIRECT ACCOUNT
RELATIONSHIP DATEOF
TRANSACTION
TRANSACTION AND OWNERSHIP SYMBOL
AGGREGATETRANSACTIONS
Bought or Otherwise Acquired
Sold or Otherwise Disposed of
MONTH-ENDOWNERSHIP
SOUTHERN BANK AND TRUSTCOMPANY (Richmond. Virginia)Frank W. Heindl D 12-13-68 1 ,0 0 0 2,397Wife 200Elam and Funsten 385Sulgrave Corpe 100
J. Garland Hening, Jr. DB 12- 9-68 400 25,647Wife 3,315Charitable trust agreeme It 2 994
STATE STREET BANK AND TRUSTCOMPANY (Boston, Massachuset ;s)
John T. G. Nichols OD 1 2-2 0 - 6 8 100 205John J. Wilson D 1 0-1 0 -6 8 500 2,075
TEXAS BANK AND TRUST COMPANYOF DALLAS
Ted R. Alexander 0 9- 9-68 1011-26-68 F 50 60
R. W. Baxter D 11-26-68 F 221 1,322John S. Brown D 11-26-68 F 1,420 8,523Maxwell Clampitt D 11-26-68 F 40 240
11-26-68 2F 73 451George W. Cramer 0 11-26-68 F 98 588
11-26-68 2F 272B 85 170
P. B. Garrett OD 11-26-68 F 180 1,080J. M. Haggar, Jr. D 11-26-68 F 163 977
11-26-68 2F 632 100 375
John R. Hill, Jr. D 11-26-68 F 60 360Ray E. Hubbard D 11-26-68 F 50 2,248
11-26-68 2F 300 300
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>"OT-5 gM Z AGGREGATE
BANK Ht—4 pc in to > TRANSACTIONSREPORTING PERSON
o2:inEC DATE
ec nW H TJ M2 Bought or Sold or
INDIRECT ACCOUNTM OF
TRANSACTIONto sir ?>03 2
OtherwiseAcquired
Otherwise Disposed of
MONTH-ENDOWNERSHIP
TEXAS BANK AND TRUST COMPANY OF DALLAS
Oscar C. Lindemann 0 11-26-68 F 1,187 7,122Justin S. McCarty D 11-26-68 F 740 7,338Henry S. Miller, Jr, D 11-26-68 F 500 3,000Clint W. Murchison, Jr, M 11-26-68 F 66 396William F. Neale, Jr, D 105
•11-26-68 2F 271 1,321W. To Overton D
11-26-68 2F 5161,5662,565
R. I, Payne D 11-26-68 F 136 818Roland L. Pelt D 11-26-68 F 339 2,035Ernest E. Senft 0 11-26-68 F 100 600Clyde Skeen D 11-26-68 F 660 3,962Denys R, Slater, Sr. D 11-26-68 F 140 445
2 139Jere W. Thompson D 11-26-68 F 80 480William E. Weatherford D 11-26-68 F 542 3,255John S. Williamson, Sr, D 11-26-68 F 140 841
TRADE BANK AND TRUST COMPANY (New York City)Ira Guilden B 15,096Controlled Corporations 11- 8-68 2 127 133,868
THE TRUST COMPANY OF NEW JERSEY (Jersey City)
George Behrens D 12- 2-68 12- 6-68 2
500500
7,2131,437
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1
BANK
REPORTING PERSON
INDIRECT ACCOUNT
RELATIONSHIP DATEOF
TRANSACTION
TRANSACTION AND OWNERSHIP SYMBOL
AGGREGATETRANSACTIONS
MONTH-ENDOWNERSHIP
Bought or Otherwise Acquired
Sold or Otherwise Disposed of
THE UNION COMMERCE BANK(Cleveland, Ohio)
James M. Carney D 5,000Family 2 1,745Westwood Estates, Inc. 1 2- 2 - 6 8 2 200 500West Valley Realty Coc 1 2- 2 - 6 8 2 100 100Manufacturing Sites, Inc 0 1 2- 2 - 6 8 2 200 20013811 Enterprise, Inc. 1 2- 2 - 6 8 2 200 1 ,2 0 0Bell Building, Inc. 1 2- 2 - 6 8 2 300 300
UNION COUNTY TRUST COMPANY(Elizabeth, New Jersey)George W. Bauer OD 12-27-68 600 42,408C. H. Winans Co. 4 8 ,8 8 6
Raymond W. Bauer 0 12-27-68 10012-31-68 300 13,774
C. H. Winans Co. 5 13,152Trustee of Estate 5 1,728Trust 3 885Wife 3 3,864
Robert J. Bauer D 12-27-68 10012-27-68 300 12,700
C. H. Winans, Co. 5 13,152Estate of Ada W. Bauer 5 1,728Trusts 3 2 ,8 8 6Electrical Installations
Inc. 3 10,125Wife 3 318Son 3 2 ,1 1 2
UNITED STATES TRUST COMPANY(Boston, Massachusetts)Alfred H. Dolben D 8-14-68 75 1,575As trustee 300Somerset Savings Bank 2 6 ,0 0 0
Alan R. Morse 3DB 12-24-68 245 245 3,034Co-trustee 2 49,874Foundation 2 2 0 ,2 2 2Wife 3 800
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BANK
REPORTING PERSON
INDIRECT ACCOUNT
UNITED STATES TRUST COMPANY (Continued)________________
John Morse Son WifeCo-trusteeFoundation
UNITED STATES TRUST COMPANY OF NEW YORK (New York City)
John T. Pratt, Jr.Wife
JX3mtr*>HOZCOM DATE
OFTRANSACTION
¥§poCOXMnaco55or*
TTiCO>oHMOzps.zo
AGGREGATETRANSACTIONS
Bought or Otherwise Acquired
Sold or Otherwise Disposed of
MONTH-END OWNERSHIP
DDB12- 10-6812- 20-68
33G22
200 200200
990200
2,10049,87420,222
T 12- 12-683
400 10,4003,000
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