[Form 4] Auburn National Bancorporation Insider Trading Activity

Rhea-AI Filing Summary

Form 4 filing for Auburn National Bancorporation (AUBN) discloses that Robert Lawrence Smith, Senior Vice-President & Chief Lending Officer, acquired 421 shares of AUBN common stock on 24 Jul 2025. The shares were granted as restricted stock units (RSUs) under the company’s 2024 Equity and Incentive Compensation Plan and are scheduled to vest on 10 Mar 2026.

The transaction, coded “A” (award), was reported at a reference price of $28.34. Following the grant, Smith’s direct beneficial ownership rises to 806 shares. No derivative securities, sales, or disposals were reported.

The filing represents an officer-level insider increasing equity exposure via compensation-related RSUs; it does not include cash purchases, sales, or changes to derivative positions.

Positive

• Officer acquisition: 421 RSUs granted, increasing insider's direct stake to 806 shares.

Negative

• None.

Insights

Financial Analyst

TL;DR: Officer granted 421 RSUs; ownership now 806 shares—minor, compensation-related, mildly positive alignment.

The Form 4 shows a routine equity award rather than an open-market buy. At 421 shares (~US$12k at the reference price), the size is modest relative to typical insider transactions and unlikely to move valuation. However, it modestly increases insider ownership and aligns management incentives ahead of the 2026 vesting date. No negative signals such as sales, option exercises, or hedging appear. Overall impact on AUBN share supply and market perception should be neutral to slightly positive.

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).

1. Name and Address of Reporting Person^*

Smith Robert Lawrence

(Last) (First) (Middle)

P. O. BOX 3110

(Street)

AUBURN AL 36831-3110

(City) (State) (Zip)

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/CLO

3. Date of Earliest Transaction (Month/Day/Year)
07/24/2025

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

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

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

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 $0.1	07/24/2025	07/24/2025	A		421(1)	A	$28.34	806	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. Restricted Stock Unit granted in accordance with the Company's 2024 Equity and Incentive Compensation Plan. These awards vest on March 10, 2026.

	/s/ Robert Lawerence Smith	07/28/2025
	** 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.

FAQ

How many AUBN shares did Robert L. Smith acquire on July 24 2025?

421 shares in the form of restricted stock units.

What is Smith's total beneficial ownership after the transaction?

His direct holdings total 806 AUBN shares.

At what price were the RSUs reported?

The reference price in the filing is $28.34 per share.

When will the awarded RSUs vest?

They are scheduled to vest on March 10, 2026.

What is Robert L. Smith's role at Auburn National Bancorporation?

He is the Senior Vice-President & Chief Lending Officer.