Auburn National CFO receives stock; shares withheld for tax

Auburn National Bancorporation reported a routine equity compensation event for its SVP/CFO, William James Walker IV.

Rhea-AI Filing Summary

Auburn National Bancorporation reported a routine equity compensation event for its SVP/CFO, William James Walker IV. On the March 10, 2026 settlement date, restricted stock units vested and he received shares of common stock, including 8 shares issued as dividend equivalents.

To cover tax withholding obligations, 121 shares were withheld by the company at a price of $23.85 per share, resulting in 310 net shares being issued. In total, 318 shares were issued to the reporting person on the settlement date, and his direct common stock holdings stood at 749 shares afterward.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Walker William James IV

Role SVP/CFO

Type	Security	Shares	Price	Value
Grant/Award	common stock, par value $0.01	8	$0.00	$0.00
Exercise Price or Tax Liability	common stock, par value $0.01	121	$23.85	$3K

Holdings After Transaction: common stock, par value $0.01 — 749 shares (Direct)

Footnotes (3)

1. F1. Represents 8 shares received on March 10, 2026 (the "Settlement Date") as dividend equivalents upon the vesting of 431 restricted stock units.
2. F2. 121 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 310 net shares.
3. F3. The reporting person previously reported the grant of 431 restricted stock units as an acquisition of common stock in Table I on July 24, 2025. On the Settlement Date, a total of 318 shares were issued to the Reporting Person.

FAQ

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

What insider transaction did AUBURN NATIONAL BANCORPORATION, INC (AUBN) report for its CFO?

The SVP/CFO received common shares through vesting of restricted stock units. The event included a grant of shares and a tax-related share withholding, reflecting routine equity compensation rather than an open-market trade.

How many AUBN shares were issued to the CFO on the settlement date?

A total of 318 shares of common stock were issued on the settlement date. This figure includes 310 net shares after tax withholding and 8 shares received as dividend equivalents tied to the vested restricted stock units.

Why were 121 AUBN shares withheld from the CFO’s award?

121 shares were withheld by the company to satisfy tax withholding obligations. The withholding was based on the $23.85 per share closing price on the Nasdaq Global Market on the settlement date, instead of the executive selling shares in the market.

What is the nature of the CFO’s AUBN Form 4 transactions?

The filing shows an award acquisition of shares and a tax-withholding disposition. These reflect vesting of previously granted restricted stock units and associated tax payments, not discretionary open-market buying or selling of Auburn National Bancorporation shares.

How many AUBN shares does the CFO hold after these transactions?

Following the settlement and tax withholding, the CFO directly holds 749 shares of Auburn National Bancorporation common stock. This total incorporates his existing holdings plus the newly issued net shares from the restricted stock unit vesting.

What were the underlying restricted stock units mentioned in the AUBN Form 4?

The footnotes state that 431 restricted stock units had been previously reported as a grant. Upon vesting on the settlement date, they resulted in the issuance of 318 shares, including dividend equivalents and shares net of tax withholding.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/26/2026 - 02:10 PM Learn about SEC filing dates

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^*

Walker William James IV

(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)
	SVP/CFO

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)

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)
			Code	V	Amount	(A) or (D)	Price
common stock, par value $0.01	03/10/2026		A		8(1)	A	$0.00	870	D
common stock, par value $0.01	03/10/2026		F		121(2)	D	$23.85	749(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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents 8 shares received on March 10, 2026 (the "Settlement Date") as dividend equivalents upon the vesting of 431 restricted stock units.

2. 121 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 310 net shares.

3. The reporting person previously reported the grant of 431 restricted stock units as an acquisition of common stock in Table I on July 24, 2025. On the Settlement Date, a total of 318 shares were issued to the Reporting Person.

Remarks:

This Form 4 is filed late.

	/s/ W. James Walker, IV	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)