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Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K Annual report pursuant to Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 . For the quarterly period ended December 31 , 2020 OR Transition report pursuant to Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 . For the transition period to Commission File Number : 0-26486 Auburn National Bancorporation , Inc. ( Exact Name of Registrant as Specified in Its Charter ) Delaware ( State or other jurisdiction of incorporation ) 132 N. Gay Street , Auburn , Alabama ( Address of principal executive offices ) Title of Each Class Common Stock , par value $ 0.01 Registrant's telephone number , including area code : ( 334 ) 821-9200 Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol AUBN 63-0885779 ( I.R.S. Employer Identification No. ) 36830 ( Zip Code ) Name of Exchange on which Registered NASDAQ Global Market Securities registered to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes No ☑ Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S- T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No □ Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , or a smaller reporting company . See the definitions of " large accelerated filer , " " accelerated filer " and " smaller reporting company " in Rule 12b - 2 of the Exchange Act . ( Check one ) : Large Accelerated filer Accelerated filer ☐ Non - accelerated filer Smaller reporting company Emerging Growth Company If an emerging growth company , indicate by check mark if the registrant has selected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Yes No Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark if the registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) . Yes No State the aggregate market value of the voting and non - voting common equity held by non - affiliates computed by reference to the price at which the common equity was last sold , or the average bid and asked price of such common equity as of the last business day of the registrant's most recently completed second fiscal quarter : $ 132,361,395 as of June 30 , 2020 . APPLICABLE ONLY TO CORPORATE REGISTRANTS Indicate the number of shares outstanding of each of the registrant's classes of common stock , as of the latest practicable date : 3,566,326 shares of common stock as of March 8 , 2021 . DOCUMENTS INCORPORATED BY REFERENCE Portions of the Proxy Statement for the Annual Meeting of Shareholders , scheduled to be held May 11 , 2021 , are incorporated by reference into Part II , Item 5 and Part III of this Form 10 - K .