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.
Auburn National Bancorporation filings document the company’s public reporting as the Nasdaq-listed bank holding company for AuburnBank. Its Form 8-K reports cover quarterly and annual operating results, dividend declarations, stock repurchase authorization, director elections, and other material corporate events tied to its community banking business in East Alabama.
Proxy filings describe annual meeting matters, board composition, director nominations, and shareholder voting procedures. The filings also identify the company’s common stock, par value $0.01, trading under AUBN on the Nasdaq Global Market, and provide formal exhibits such as earnings releases and governance-related disclosures.
Auburn National Bancorporation (AUBN) reported an initial insider filing as Walton T. Conn, Jr. became a director on October 6, 2025. He disclosed 1,137 shares of common stock held directly as joint tenants with his spouse and 668 shares held indirectly through a Schwab IRA Rollover FBO Walton T. Conn, Jr. No derivative securities were reported.
William F. Ham Jr., a director of Auburn National Bancorporation, Inc. (AUBN), reported two open-market purchases on 10/08/2025. He acquired 45 shares at $27.4849 and 9 shares at $27.4207, leaving him with 4,909 and 4,918 shares respectively after each transaction; 300 shares are held indirectly by his spouse. The filing is signed on 10/09/2025 and notes DRIP/OCP as the remark.
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.