Welcome to our dedicated page for Auburn National SEC filings (Ticker: AUBN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to Auburn National Bancorporation, Inc. (Nasdaq: AUBN) SEC filings, offering a view into the regulatory disclosures of the parent company of AuburnBank, an Alabama state-chartered commercial bank headquartered in Auburn, Alabama. Through these documents, investors can review how the Company reports its financial condition, capital position and corporate actions as a publicly traded commercial banking organization.
Current reports on Form 8-K for AUBN cover a range of material events. Recent 8-K filings report quarterly and annual financial results, including net earnings, net interest income, net interest margin, noninterest income and expense, and asset quality and capital ratios. Other 8-K filings disclose dividend declarations, the election of directors, adoption of equity and incentive compensation plans, grants of restricted stock units to named executive officers, and amendments or proposed amendments to the Company’s Certificate of Incorporation.
Annual reports on Form 10-K and quarterly reports on Form 10-Q, which are accessible through the SEC’s EDGAR system and linked from this page when available, contain more detailed information. These filings typically include discussions of Auburn National Bancorporation’s commercial banking activities in East Alabama, its securities portfolio classified as available-for-sale, its use of non-GAAP financial measures such as tax-equivalent net interest income and the efficiency ratio, and risk factors relevant to its operations.
Users can also review exhibits filed with AUBN’s reports, such as certificates of amendment or correction to the Certificate of Incorporation, equity plan documents and press releases furnished as exhibits. Insider compensation-related information appears in filings describing equity awards and related terms and conditions. Stock Titan’s platform supplements these filings with AI-powered summaries that explain key sections of lengthy documents, highlight important changes from prior periods, and help readers interpret items such as changes in capital ratios, provisions for credit losses and governance amendments.
Insider purchases by a senior officer. Shannon O'Donnell, identified as a Senior Vice President, reported two purchases of common stock on 10/08/2025 under a dividend reinvestment/option plan (remark: DRIP/OCP). The filings show acquisition of 1,526 shares at $27.4849 and 1,537 shares at $27.4207, executed as purchase transactions. The report is signed on 10/09/2025.
Director David E. Housel reported two open-market purchases totaling 17,345 shares of Auburn National Bancorporation (AUBN) on 10/08/2025. The transactions show 8,665 shares at $27.4849 and 8,680 shares at $27.4207, with both held directly. The filing is signed 10/09/2025 and notes DRIP/OCP in the remarks, indicating dividend reinvestment or an open-market purchase plan was used.
Director purchase recorded: A director, Barrett J Tutt, reported two purchases totaling 70 shares of AUBN common stock on 10/08/2025. The transactions show acquisitions of 48 shares at $27.4849 and 22 shares at $27.4207 under a dividend reinvestment/ownership plan (marked "DRIP/OCP"). Following these transactions the reporting lines list beneficial ownership totals of 9,022 and 9,044 shares respectively.
Auburn National Bancorporation, Inc. reported that its Board of Directors and the Board of AuburnBank elected Walton T. Conn, Jr. as a director on October 6, 2025. He will serve on the boards of both the Company and the Bank for a term ending at the Company’s 2026 Annual Meeting of Shareholders, scheduled for May 12, 2026, and continue until his successor is elected and qualified.
The Board determined that Mr. Conn is an independent director under Nasdaq corporate governance rules, meaning he meets Nasdaq’s standards for board independence. The Company also issued a press release on October 6, 2025 announcing his appointment, which is filed as Exhibit 99.1.
Bruce Steven Spencer filed a Schedule 13D reporting beneficial ownership of 251,238 shares of Auburn National Bancorporation, Inc. (AUBN), equal to 7.2% of outstanding shares, following transfers from estate and trust accounts on September 11, 2025. Spencer holds 243,902 inherited shares as sole trustee with sole voting and dispositive power for Recipient Trusts FBO Bruce Steven Spencer and also directly or indirectly holds an additional 7,336 shares (including personal and LLC-related interests). The filing states these changes reflect inheritance transfers and no other arrangements or contemplated actions.
Sandra J. Spencer filed Amendment No. 3 to a Schedule 13D reporting inheritance transfers that changed her beneficial ownership in Auburn National Bancorporation, Inc. She received a total of 243,903 shares from trusts and estates established by her late parents and now beneficially owns 258,214 shares, equal to 7.4% of the 3,493,699 shares outstanding reported on August 11, 2025. The shares were transferred on September 11, 2025 into trust accounts where Ms. Spencer serves as sole trustee and sole beneficiary for the parcels listed for her benefit, and she holds additional shares individually, with her husband, and via Spencer LLC. Ms. Spencer expressly disclaims beneficial ownership of certain shares held by Spencer LLC and the Spencer Foundation.
Sandra J. Spencer filed Amendment No. 3 to a Schedule 13D reporting inheritance transfers that changed her beneficial ownership in Auburn National Bancorporation, Inc. She received a total of 243,903 shares from trusts and estates established by her late parents and now beneficially owns 258,214 shares, equal to 7.4% of the 3,493,699 shares outstanding reported on August 11, 2025. The shares were transferred on September 11, 2025 into trust accounts where Ms. Spencer serves as sole trustee and sole beneficiary for the parcels listed for her benefit, and she holds additional shares individually, with her husband, and via Spencer LLC. Ms. Spencer expressly disclaims beneficial ownership of certain shares held by Spencer LLC and the Spencer Foundation.
Sandra J. Spencer filed Amendment No. 3 to a Schedule 13D reporting inheritance transfers that changed her beneficial ownership in Auburn National Bancorporation, Inc. She received a total of 243,903 shares from trusts and estates established by her late parents and now beneficially owns 258,214 shares, equal to 7.4% of the 3,493,699 shares outstanding reported on August 11, 2025. The shares were transferred on September 11, 2025 into trust accounts where Ms. Spencer serves as sole trustee and sole beneficiary for the parcels listed for her benefit, and she holds additional shares individually, with her husband, and via Spencer LLC. Ms. Spencer expressly disclaims beneficial ownership of certain shares held by Spencer LLC and the Spencer Foundation.
Sandra J. Spencer filed Amendment No. 3 to a Schedule 13D reporting inheritance transfers that changed her beneficial ownership in Auburn National Bancorporation, Inc. She received a total of 243,903 shares from trusts and estates established by her late parents and now beneficially owns 258,214 shares, equal to 7.4% of the 3,493,699 shares outstanding reported on August 11, 2025. The shares were transferred on September 11, 2025 into trust accounts where Ms. Spencer serves as sole trustee and sole beneficiary for the parcels listed for her benefit, and she holds additional shares individually, with her husband, and via Spencer LLC. Ms. Spencer expressly disclaims beneficial ownership of certain shares held by Spencer LLC and the Spencer Foundation.
Anne M. May, a director of Auburn National Bancorporation, Inc. (AUBN), reported multiple non-derivative stock transactions dated 09/11/2025. The filing shows acquisitions of 222,275, 5,667, and 15,960 shares of common stock, and a reported disposal of 33,311 shares. Following the reported transactions, certain holdings are shown as indirect and described as held in trustee capacities for family trusts. The filing includes a note that 11,672 shares are subject to a durable Power of Attorney granted by Edward L. Spencer, III and that the Reporting Person disclaims beneficial ownership of those shares. The transactions are disclosed as transfers from estates and pour-over trust distributions and are stated to be exempt from Section 16(b) under Commission Rule 16b-5.
David E. Housel, a director of Auburn National Bancorporation (AUBN), reported a purchase of 100 shares of common stock on 09/09/2025 at a price of $27.19 per share. After the transaction he beneficially owns 8,631 shares. The Form 4 reflects a direct acquisition and is signed by the reporting person.
Auburn National Bancorporation, Inc. furnished a current report reporting that it issued a press release announcing the declaration of its quarterly dividend. The filing states the press release is attached and incorporated by reference as Exhibit 99.1 and that an Inline XBRL cover page is furnished as Exhibit 104. The report identifies the company as incorporated in Delaware and lists its common stock trading on the Nasdaq Global Market under the symbol AUBN. The company’s principal executive office address and telephone number are shown in the filing. The filing text does not include the dividend amount, record date, payment date or related terms, so the attached press release must be consulted for those specifics.
Auburn National Bancorporation reported continued earnings growth and stronger liquidity in the quarter ended June 30, 2025. Total assets rose to $1,029,224 compared with $977,324 at year-end 2024, driven by higher cash and cash equivalents of $152,159 versus $93,354. Deposits increased to $939,851 from $895,824, supporting a $58,805 increase in cash during the six months. Loans were essentially stable at $562,714 compared with $564,017, with loans secured by real estate representing 87.8% of the portfolio.
Quarter net interest income was $7,344 versus $6,709 a year earlier, and the Company reported net earnings of $1,833 for the quarter and $3,363 for the six months, producing EPS of $0.52 and $0.96 for the quarter and six months, respectively. The allowance for credit losses totaled $6,965, and provision for credit losses was $113 for the quarter. Securities available-for-sale had a fair value of $239,681 and recorded gross unrealized losses of $31,121 driven by interest-rate related fair value declines; $216.3 million of securities were pledged for various purposes.