Auburn National SVP reports RSU share settlement

AUBURN NATIONAL BANCORPORATION, INC.

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Form Type

4/A

Rhea-AI Filing Summary

AUBURN NATIONAL BANCORPORATION, INC. Senior Vice President Shannon O'Donnell reported routine equity compensation activity. On March 10, 2026, she acquired 7 shares of common stock as dividend equivalents upon vesting of 387 previously granted restricted stock units, at no cost. On the same date, 114 shares were disposed of to cover tax withholding obligations at $23.85 per share, resulting in 273 net shares issued. Following these transactions, she directly held 1,844 shares of common stock.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider O'DONNELL SHANNON

Role Senior Vice President

Type	Security	Shares	Price	Value
Grant/Award	common stock, par value $0.01	7	$0.00	$0.00
Exercise Price or Tax Liability	common stock, par value $0.01	114	$23.85	$3K

Holdings After Transaction: common stock, par value $0.01 — 1,844 shares (Direct)

Footnotes (3)

F1. Represents 7 shares received on March 10, 2026 (the "Settlement Date") as dividend equivalents upon the vesting of 387 restricted stock units.
F2. 114 shares were withheld by the Issuer from the on the Settlement Date to satisfy tax withholding obligations based on the $23.85 per share closing price on the Nasdaq Global Market on the Settlement Date resulting in the issuance of 273 net shares.
F3. The reporting person previously reported the grant of 387 restricted stock units as an acquisition of common stock in Table I on July 24, 2025. On the Settlement Date, a total of 280 shares were issued to the Reporting Person.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did AUBN Senior Vice President Shannon O'Donnell report on this Form 4/A?

Shannon O'Donnell reported routine equity compensation activity. She received 7 shares of AUBN common stock as dividend equivalents upon vesting of restricted stock units and had 114 shares withheld to satisfy tax obligations, reflecting standard settlement of stock-based awards.

How many Auburn National (AUBN) shares did Shannon O'Donnell acquire through RSU vesting?

O'Donnell acquired 7 AUBN common shares as dividend equivalents on March 10, 2026. Footnotes state these were tied to the vesting of 387 previously granted restricted stock units, resulting in a total of 280 shares issued to her on the settlement date.

Why were 114 AUBN shares disposed of in Shannon O'Donnell’s Form 4/A filing?

The 114 AUBN shares were withheld by the issuer to satisfy tax withholding obligations. The withholding was based on the $23.85 per share closing price on the Nasdaq Global Market on the March 10, 2026 settlement date, a common practice for equity awards.

What does the tax-withholding transaction in AUBN’s Form 4/A mean for shareholders?

The tax-withholding transaction reflects shares withheld to pay taxes on vested stock units, not an open-market sale. It is a non-discretionary step where the company uses a portion of the shares to cover required tax payments on compensation.

How many Auburn National (AUBN) shares does Shannon O'Donnell hold after these transactions?

After the March 10, 2026 transactions, O'Donnell directly holds 1,844 AUBN common shares. This figure reflects the net position after receiving dividend-equivalent shares and having 114 shares withheld by the issuer to satisfy related tax obligations.

Were the reported AUBN transactions open-market buys or sells by Shannon O'Donnell?

The reported AUBN transactions were not open-market trades. They consisted of a grant of 7 shares as dividend equivalents tied to restricted stock units and a tax-withholding disposition of 114 shares, both typical components of stock-based compensation settlement.

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Accepted by SEC EDGAR 03/26/2026 - 02:22 PM EDT

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

O'DONNELL SHANNON

(Last)

(First)

(Middle)

P. O. BOX 3110

(Street)

AUBURN

ALABAMA

36831-3110

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
AUBURN NATIONAL BANCORPORATION, INC [ AUBN ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Senior Vice President

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/10/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)
03/26/2026

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
common stock, par value $0.01	03/10/2026		A		7⁽¹⁾	A	$0.00	1,958	D
common stock, par value $0.01	03/10/2026		F		114⁽²⁾	D	$23.85	1,844⁽³⁾	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Represents 7 shares received on March 10, 2026 (the "Settlement Date") as dividend equivalents upon the vesting of 387 restricted stock units.

2. 114 shares were withheld by the Issuer from the on the Settlement Date to satisfy tax withholding obligations based on the $23.85 per share closing price on the Nasdaq Global Market on the Settlement Date resulting in the issuance of 273 net shares.

3. The reporting person previously reported the grant of 387 restricted stock units as an acquisition of common stock in Table I on July 24, 2025. On the Settlement Date, a total of 280 shares were issued to the Reporting Person.

Remarks:

This Form 4 is filed late. We did not include the 387 restricted stock units received on July 24, 2025 in the total of shares in the original form 4.

	/s/ Shannon O'Donnell	03/26/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR