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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 September 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 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 ag8regating 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 Co 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" "E" "F" "G" "S" -Distribution - Exchange or Conversion - Exercise of rights - Gift - 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.; MONTH-END OWNERSHIP "PR" - Holdings as previously reported. TRANSACTIONS A N D M O N T H - E N D OWNERSHIP Reports included in this summary were filed with the Board of Governors of the Federal Reserve System during the period from September 11,1971 to October 10, 1971 IMPORTANT - See Guide to Symbols on preceding page. O H BANK REPORTING PERSON INDIRECT ACCOUNT £ 5 H h~i o 55 cn w *~d m pa sc M CO DATE CO OF ►< TRANSACTION 25 cn > o H W o AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise Disposed of MONTH-END OWNERSHIP BANK OF THE COMMONWEALTH (Detroit, Michigan) Leo G. Lapham OD 9-20-71 203 7,078 D 8-12-71 200 43,959 D 8-17-71 D 8-9-71 BANK OF SMITHTOWN (New York) Carlyle Hodgkinson CENTRAL BANK (Monroe. La.) James D. Sparks 100 2,213 CITIZENS FIDELITY BANK AND ‘ TRUST CO (Louisville, Kentucky' George E. Egger 400 2 Dinwiddle Lampton, Jr. D 8-18-71 2 400 1,100 354 418 51,014 THE CLEVELAND TRUST COMPANY (Ohio) George F. Karch 0 9-17-71 212 1,112 60 2PR Allan K. Shaw 0 9-17-71 109 469 D 8-9-71 8-11-71 8-19-71 275 660 245 5,637 CORPUS CttRISTI BANK AND TRUST (Texas) H. C. Heldenfels -2- FR 671 REPORTING PERSON INDIRECT ACCOUNT DATE OF TRANSACTION TRANSACTION AND OWNERSHIP SYMBOL BANK AGGREGATE TRANSACTIONS Bought or Otherwise Acquired Sold or Otherwise Disposed of MONTH-END OWNERSHIP COUNTY TRUST COMPANY (Tenafly. New Jersey) T. Craig Carle Benjamin Casser 6-2-71 8-12-71 200 380 6-2-71 6-21-71 8-2-71 6-2-71 238 14,225 4 18,691 599 5,259 1,017 2 2 6,092 Harry I. Etelman 8-12-71 1,000 580 2 2 520 EWING BANK AND TRUST COMPANY (Trenton. New Jersey)_______ William A. Blackwell 9-20-71 Roy P. Briehler Sept.71 Sept.71 8,000 7,000 2,418 2 2 50,228 7 A. J. Banning 9-20-71 1,556 8,000 Gordon L. Youngs 9-20-71 1,444 7,189 3-21-71 6-23-71 8-4-71 3-21-71 420 300 440 54 2,000 163 THE FIFTH THIRD BANK (Cincinnati. Ohio) Daniel H. Harkness* 2 ♦Amended Report FIRST BANK OF COLONIA (N. J. Eugene J. Gosselin 8-17-71 1,082 2,886 . 9-15-71 100 5,100 GENESEE MERCHANTS BK & TR CO (Flint. Michigan)___________ Lloyd H. Drake -3- FR 671 Pd W tr* BANK AGGREGATE TRANSACTIONS % REPORTING PERSON INDIRECT ACCOUNT M o 2 c2 n X TJ DATE OF TRANSACTION S3 S C/3 * w £ h3i Bought or x a O 1 Otherwise cn Acquired ^ t> & as Sold or Otherwise Disposed of MONTH-END OWNERSHIP GENESEE MERCHANTS BK (Con't) John F. Sarvis 0 9-10-71 954 1,887 Robert A. Whisner 0 8-4-71 100 900 D 7-21-71 1,400 1,613 3,265 1,700 312 4,750 8,810 112,215 3,718 HARRIS TRUST & SVGS BANK (Chicago, Illinois) Robert W. Galvin 2 57<> Conv. Capital Notes Stanley G. Harris, Jr. OD 8-23-71 2 4 2 THE NORTHERN TRUST COMPANY (Chicago. Illinois) Thrift Incentive Plan T 9-1-71 800 26,509 D 9-30-71 58 158 THE OHIO CITIZENS TRUST CO (Toledo, Ohio) Paul Putnam PIEDMONT TRUST BANK (Martinsville. Virginia) Leon Globman 344 D 89- 27-71 30-71 2 2 75 25 100 TOMPKINS COUNTY TRUST COMPANY (Ithaca. New York) Robert T. Dean D 8-4-71 8-5-71 100 9-1-71 9-7-71 9-29-71 100 10 100 100 100 SEARS BANK AND TRUST COMPANY (Chicago, Illinois) Profit Sharing Plan B 57,916 -4- 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 UNITED STATES TRUST COMPANY OF NEW YORK (New York City) Bonus Plan T 101 32,941
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