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G.16 BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM Washington,D. C. 20551 Summary of 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 November 1971 EXPLANATORY NOTE Information in this Summary has been drawn from reports on Form F-8, "Statement of Changes in Beneficial Ownership of Securities,” filed \tfith 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. "A" - 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. M0NTH>END OWNERSHIP "PR" - Holdings as previously reported. TRANSACTIONS A N D M O N T H - E N D OW N E R S H I P Reports included in this summary were filed with the Board of Governors of the Federal Reserve System during the period from November 11, 1971 to December 10, 1971 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) Leo G. Lapham 0 11-5-71 500 5,892 Edward J. McNabb 0 11-9-71 100 328 OD 11-3-71 THE BANK OF NEW JERSEY (Camden) W. Robert Davis 50 1,500 100 2 Robert W. Hutton OD 7-21-71 11-17-71 400 50 550 THE BANK OF SMITHTOWN (New York) Carlyle Hodgkinson D 10-8-71 11-9-71 11-29-71 11-30-71 500 50 500 73 25 43,811 BROADWAY BANK AND TRUST CO (Paterson, New Jersey) George Kent D 10-14-71 D 10-15-71 10-13-71 300 12,525 CENTRAL.BANK (Monroe,La) Guy Campbell,Jr. 2 128 373 227 1,152 CITIZENS FIDELITY BANK AND TRUST CO (Louisvilie.Kentucky) Almond Cooke D 1-15-71 200 2,365 -2- FR 671 BANK REPORTING PERSON po DATE OF ITRANSACTION o z c/i z INDIRECT ACCOUNT AGGREGATE TRANSACTIONS w z f* cn co > z O M H T) H Bought or Otherwise C/3 § •> Acquired cb Z o o f Sold or Otherwise Disposed of MONTH-END OWNERSHIP CITIZENS FIDELITY BANK (Con'tf George E. Egger I D 10-1-71 460 1,560 354 11-5-71 11-4-71 3,600 100 10 ,0 0 0 THE CLEVELAND TRUST COMPANY (Ohio)_____________________ George E . Enos Henry J. Nave D | D • 600 3,600 100 11-8-71 700 CORPUS CHRISTI BANK AND TRUSTj (Texas)_______ ; ______ ._____ . PR F. Clay Caldwell 5,000 125 8-16-71 8-16-71 John W. Crutchfield 3,421 PR D 8-16-71 8-16-71 12,000 300 8-16-71 8-16-71 PR 2PR 2T 100,000 2,500 2T H. L. Eichelberger 8-16-71 8-16-71 Sydney Herndon D D Lucian L. Morrison, Jr. 8-16-71 8-16-81 2,500** 220 10 , 000 * 250** 660 PR 10 100 ,000* 3,525 14,000* 350** 10,000 250 8-16-71 8-16-71 9,415 12,297 14,000 350 PR John R. Locke, Jr. 300** 50,000 1,250 R 8-16-71 8-16-71 12 , 000 * 20,438 50,000* 1,250** PR B. C. Garnett 1,320 5,000* 125** 2,000 50 2 ,000 * 50** -3- FR 671 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 CORPUS CHRISTI BANK(Con't) Arnold 0. Morgan D 8-16-71 8-16-71 Gordon P. Reid D PR 2 2 7,000 175 220 500 500 7,000* 175** 64,000 800 25,646 64,000* 800** 10,000 250 2,194 10,000* 250** PR D 10-15-71 10-15-71 C. Ivan Wilson 27,290 50,000* 1,250** PR 2PR 2PR 8-16-71 8-16-71 Edwin Singer 50,000 1,250 PR 0 8-16-71 8-16-71 * 7% Registered Capital Debentures ** Registered Stock Purchase Warrants COUNTY BANK OF SANTA CRUZ (California) A. Gardner Finn 11-15-71 D 100 951 748 200 100 18,500 4,500 80 100 912 2 THE DETROIT BANK AND TRUST CO ^Michigan) Cleveland Tliurber James 0. Wright D D 11-30-71 11-30-71 11-2-71 11-29-71 2 FIRST TRUST AND DEPOSIT CO (Syracuse. New York) Donald M. Mawhinney D 8-10-71 473 -4- FR 671 -5- FR 671 BANK REPORTING PERSON INDIRECT ACCOUNT sc . .................. DATE OF TRANSACTION 1 - TRANSACTION AND OWNERSHIP SYMBOL ■■ I . . p to n f $ M o 53 w AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise Disposed of MONTH-END OWNERSHIP THE TEXAS BANK (Dallas) 1,000 9-16-71 Carl P. Wallace 3,512 TOMPKINS COUNTY TRUST COMPANY| (Ithaca. New York)_________ 50 50 10-8-71 10-13-71 Ellis Phillips, Jr. 200 UNION BANK AND TRUST COMPANY (Montgomery. Alabama)_______ 700 26 100 11-9-17 Robert F. Henry 2 UNITED STATES TRUST. COMPANY OF BOSTON (Massachusetts) 11-23-71 William H. Dolben, Jr. 11-23-71 2T 3 3 190 760 300 390 2 100 UNITED STATES TRUST COMPANY OF NEW YORK(New York City) Charles W. Buek |OT 11-4-71 Bonus Plan IT 11-19-71 lOD 12-2-71 400 100 67 32,838 THE VALLEY BANK OF NEVADA (Las Vegas)_______________ Kenneth J. Sullivan, Jr. 1,000 4,059 19 14,300 1,662 110,725 100 30 2 2 E. Parry Thomas 12-22-71 2 2 WILMINGTON TRUST COMPANY (Belaware) William Bradford, Jr. Nov. 71 100 -0-
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