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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 February 1969 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 aggregating less than 50 shares during the month for which the report is filed, stock splits, stock dividends, rights, and gifts. The under lying 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 pur chase or sale, and the nature of ownership, if other than direct (see "Guide to Symbols" below). GUIDE TO SYMBOLS Reference to these symbols is essential for a full and accurate Interpretation of the data reported RELATIONSHIP "0" - Officer "D" - 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 TRANSACTION No 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 OWNERSHIP No symbol - Securities are beneficially owned directly. "1" - 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. "3" - 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. "5" - Same as "4," except that reporter disclaims any admission that he is the beneficial owner of the securities. transactions a n d m o n t h -e n d o w n e r s h i p Reports included in this summery were filed with the Board of Governors of the Federal Reserve System during the period from February 11, 1969 to March 10, 1969 IMPORTANT - See Guide to Symbols on preceding page. INDIRECT ACCOUNT DATE OF TRANSACTION TRANSACTION AND OWNERSHIP SYMBOL REPORTING PERSON RELATIONSHIP BANK AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise Disposed of MONTH-END OWNERSHIP BANK OF THE COMMONWEALTH (Detroit, Michigan) BOC Investment Company B 2-13-69 2-10-69 S 226,044 120 678,131 450 1,850 1,350 5,550 232 120 226,044 696 678,131 1,905 135 451,967 Basil M. Briggs Family D February 6‘ February 6‘ Horace C. Ford BOC Investment Co. D 2-13-69 2-10-69 2-13-69 S 2 2S 1-30-69 2 2- 7-69 2-13-69 2-10-69 S S2 2 338 226,044 120 2- 7-69 2- 7-69 2-10-69 2-13-69 S S2 2 2 169 482,661 120 60 2- 7-69 2-10-69 2-13-69 S 2 S2 1,070 120 226,044 Thomas G. Gies BOC Investment Co. D Norman E. Kleinert BOC Investment Co. 0 Frederick C. Matthaei,Jr. Controlled Corporations George W. Miller BOC Investment Company D OD 1,013 678,131 506 1,448,163 3,209 678,131 CENTRAL TRUST COMPANY ROCHESTER N.Y. Elmer B. Milliman Wife OD 100 1-29-69 2 4,143 450 -2- ■trig > BANK REPORTING PERSON INDIRECT ACCOUNT PO C/3 C/5 > pc q W H i ►0 M cn DATE _ o PC CO 25 w OF hd 3 ik. TRANSACTION PC 25 AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise Disposed of MONTH-END OWNERSHIP THE CENTRAL TRUST COMPANY (Cincinnati, Ohio) Ashley F. Ward D 11-29-68 12-23-68 1-21-69 1-22-69 1-28-69 1-28-69 1-24-69 2-11-69 2-17-69 Trust Member of Household William J. Whittaker Member of Household 100 33 180 200 500 100 100 300 1,500 2 3 D 7,432 500 1,000 12- 2-68 3 50 50 50 CHEMICAL BANK (New York City) Raymond F. Adams * 0 12-13-68 X 1,400 1,750 Herbert W. Nannen * 0 12-11-68 X 1,000 1,269 233 933 1,209 1,131 4,833 4,530 * In addition the above persons continue to own previously reported Capital Notes CITIZENS FIDELITY BANK AND TRUST COMPANY (Louisville, A. M. Brinkley, Jr. * •) OD 12-20-68 D Thomas W. Bullitt * Life interest in a trust 12-20-68 12-20-68 Charles A. Kane * 12-20-68 84 334 2-26-68 155 1,761 1,055 0 2 * Amended Report CITY TRUST COMPANY (Bridgeport, Connecticut) Frederick F. Lovejoy, Jr. Wife D -3- INDIRECT ACCOUNT DATE OF TRANSACTION TRANSACTION AND OWNERSHIP SYMBOL REPORTING PERSON RELATIONSHIP BANK AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise ; MONTH-END Disposed of OWNERSHIP CLARK STATE BANK AND TRUST COMPANY (New Jersey) Cuddie E. Davidson, Jr. D 1-28-69 79 738 280 4,000 880 2,000 400 840 1,000 2,500 THE CLEVELAND TRUST COMPANY (Ohio) George E. Enos Family Wife D 1-21-69 3 3 THE COLONIAL BANK AND TRUST COMPANY (Waterburv. Conn.) Donald W. Henry Family OD Kenneth V. Robinson D 1-16-69 100 680 Arthur E. B. Tanner D 1- 3-69 100 3,100 Robert N. Whittemore D Co-trustee and beneficial y of a trust Wife 2-13-69 2-14-69 2 200 1-22-69 2 2 610 29,000 30 309 2,501 891 926 COMMERCE UNION BANK (Nashville, Tennesee) Albert Werthan * Mary Jane Werthan As trustee D 7-29-68 2 2 * Amended Report COUNTY TRUST COMPANY (Tenafly, New Jersey) Stewart F. Alexander Daughter Wife Daughter Co-trustee D 1-10-69 2 2 2 2 840 10,000 -01,060 1,140 7,816 - INDIRECT ACCOUNT DATE OF TRANSACTION TRANSACTION AND 3WNERSHIP SYMBOL REPORTING PERSON RELATIONSHIP BANK 4- AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise ( MONTH-END Disposed of OWNERSHIP COUNTY TRUST COMPANY (cont'd! Benjamin Casser D 1-10-69 2 2 14,288 2,880 474 500 EWING BANK AND TRUST COMPANY (Trenton. New Jersey) Robert David Carr Eileen B. Carr OD 2- 5-69 D 2- 3-69 100 34,900 1,010 200 600 1,791 THE FIDELITY BANK (Philadelphia, Pennsylvania) John R. Wanamaker As trustee 2 FIRST BANK OF COLONIA (New Jersey) Eugene J. Gosselin D 1-16-69 1-27-69 1-28-69 1-28-69 S 88 100 25 134 2,881 THE FIRST PENNSYLVANIA BANKIIIG AND TRUST COMPANY (Philadelpl iia] Profit-Sharing Plan 3,159 1- 2-69 1- 9-69 8 17,867 FIRST BANK AND TRUST COMPANY OF HAMPDEN COUNTY (Springfield, Massachusetts) Robert R. Emerson Wife D 2 1,200 32 3 5,005 19,909 2,735 79 8- 5-68 HARRIS TRUST AND SAVINGS BANK (Chicago. Illinois) Stanley G. Harris, Jr, * Trustee Wife OD * In addition the above pers< >n continues to own $50,000 o Capital Notes 12-31-68 2,735 -5- INDIRECT ACCOUNT DATE OF TRANSACTION TRANSACTION AND OWNERSHIP SYMBOL REPORTING PERSON RELATIONSHIP BANK AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise Disposed o f MONTH-END OWNERSHIP LONG ISLAND TRUST COMPANY (Garden City, New York) Burton R. Young Wife D 1- 7-69 2 300 1,320 300 THE LOUISVILLE TRUST COMPANY (Kentucky) Fred Pfeiffer, Jr. D 1- 8-69 100 1,056 D 1- 6-69 662 2,212 MANCHESTER BANK OF ST. LOUIS (Missouri) Harry A. Baumstark MORGAN GUARANTY TRUST COMPAQ OF NEW YORK (New York City) Profit Sharing Plan 464 2- 1-69 D 34,543 1-15-69 1-15-69 2 57 15 435 165 1-15-69 1-15-69 2 85 10 435 110 410 3,510 2 72 68 600 200 2 16 58 181 138 50 300 420 100 60 4,620 50 550 MOUNTAIN TRUST BANK (Roanoke, Virginia) J. Lindsay Almond, Jr. Henry M. Hart D D Warren W. Hobbie D 1-15-69 Wiley N. Jackson D 1-15-69 1-15-69 Harry D. McReynolds D 1-15-69 1-15-69 0. D. Oakey, Jr. D 1-15-69 Thomas P. Parsley OD 1-15-69 1-15-69 1-28-69 Robert H. Turner, Jr. 0 1-15-69 2 2 1,160 -6- po M \r* > BANK REPORTING PERSON INDIRECT ACCOUNT pa w w > a q o W H z M cn DATE _ 0 pc CA Z M OF *n 3!> TRANSACTION oa Z ? 0 /■ s AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or MONTH-END Otherwise Disposed of' OWNERSHIP m MOUNTAIN TRUST BANK (cont'd) Roy L. Webber D 1-15-69 Holman Willis, Jr. D 1-15-69 1-15-69 1-15-69 1-15-69 Reginald M. Wood 54 399 2 110 7 1,210 77 2 169 56 1,612 624 2- 3-69 175 6,885 D 2- 7-69 57 191 D 1-15-69 2-13-69 50 100 1,175 2-17-69 3,000 5,200 1-10-69 1,320 53,789 D THE NORTHERN TRUST COMPANY (Chicago, Illinois) Thrift-Incentive Plan THE OHIO CITIZENS TRUST COMPANY (Toledo) Maury I. Kaplin OLD KENT BANK AND TRUST COMPANY (Grand Rapids, Mich, Wendell C. Davis RHODE ISLAND HOSPITAL TRUST COMPANY (Providence) Profit Sharing Plan SEARS BANK AND TRUST COMPANY (Chicago, Illinois) Profit Sharing Retirement Fund TRADE BANK AND TRUST COMPANY (New York City) John O'Hare 0 2-17-69 2-26-69 340 351 742 THE TRUST COMPANY OF NEW JERSEY (Jersey City) Donald R. Brenner D 2-21-69 400 2 2,895 5,315 - g F >4 1 i 3 w3 BANK ig33> £ h f l M _o as CA —| CA REPORTING PERSON INDIRECT ACCOUNT 7- CA EE W AGGREGATE TRANSACTIONS H DATE OF TRANSACTION U ca o Bought or Otherwise Acquired Sold or Otherwise Disposed of , MONTH-END OWNERSHIP o UNION BANK (Los Angeles, California) Union Bancorp B February 69 39,902 3,419,015 300 4 42,708 8,866 1-17-69 3 3 2,400 300 1,300 2- 5-69 2- 5-69 2- 5-69 3 3 9- 5-68 1-24-68 7-18-68 9- 5-68 S 3 3 S3 UNION COUNTY TRUST COMPANY (Elizabeth, New Jersey) George W. Bauer C. H. Winans Company OD John K. P. Stone, Jr. Wife Trust OD 1-10-69 200 UNITED BANK AND TRUST COMPAN l (Hartford, Connecticut) James J. Preble Wife Minor Child OD 100 200 10 700 200 177 UNITED STATES TRUST COMPANY OF NEW YORK (New York City) William L. Crow * Wife T 212 106 100 50 50 100 * Amended Report WARREN BANK (Michigan) Common Stock Leon A. Garwood * Frederick D. Kassab David Lebenbom ** ** 251 2- 9-69 D 2- 9-69 4,000 32,696 D 1-22-69 350 862 * In addition the above person continues to own 11 shares of preferred stock ** In addition these persons continue to own previously reported Convertible Capit il Notes. 40 D -8- £ > -3 w BANK REPORTING PERSON i m EC M INDIRECT ACCOUNT ¥ PO in > CA AGGREGATE TRANSACTIONS EC ^ M H ►C M DATE CA OF 3? 5> TRANSACTION w z i Bought or Otherwise Acquired Sold or MONTH-END Otherwise Disposed of' OWNERSHIP WARREN BANK (Continued) 5% Convertible Capital N o t * Leon A. Garwood 2- 9-69 $ 2,000 0 WILMINGTON TRUST COMPANY (Delaware)______________ Robert H. Richards, Jr Wife D 100 2-27-69 3 2 3,268 240 870
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