Back to filter
Original filing (PDF)20250626102609NAL0004937027001
AUBURN NATIONAL BANCORPORATION, INC.
Form 5500
FILING_RECEIVED
AUBURN NATIONAL BANCORPORATION, INC. 401(K) PLAN
401(k) retirement plan
Active participants
150
Accounts w/ balance
169
Plan assets (EOY)
$13.7M
Net assets (EOY)
$13.7M
How this plan invests
This plan
1 pooled trust
Schedule D
15 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 42 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for AUBURN NATIONAL BANCORPORATION, INC..
Plan sponsor
Name
AUBURN NATIONAL BANCORPORATION, INC.
EIN
63-0885779
Address
100 NORTH GAY STREET · AUBURN, AL · 368313110
Phone
(334) 821-9200
Industry
Commercial Banking· Finance & Insurancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
003
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-06-26
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
SMITH & HOWARD
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $20K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CAPFINANCIAL PARTNERS LLC DBA CAPTR | — | RALEIGH, NC | INVESTMENT ADVISOR | $32K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SMITH AND HOWARD PC | — | ATLANTA, GA | AUDITOR | $5K | — |
Investments
14 direct securities · 1 pooled fund· $13.7M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$11.2M
14 holdings
Common Collective Trust
$2.5M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Target Retirement 2035 Inv | — | — | — | $3.2M | 23.4% | |
| Vanguard Target Retirement 2030 Inv | — | — | — | $3.0M | 22.2% | |
| PUTNAM STABLE VALUE FUND PUTNAM INVESTMENTS · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $2.5M | 18.0% | |
| Vanguard Target Retirement 2045 Inv | — | — | — | $1.0M | 7.5% | |
| Vanguard Target Retirement 2040 Inv | — | — | — | $914K | 6.7% | |
| Vanguard Target Retirement 2055 Inv | — | — | — | $658K | 4.8% | |
| Vanguard Target Retirement 2020 Inv | — | — | — | $513K | 3.7% | |
| Vanguard Target Retirement 2025 Inv | — | — | — | $511K | 3.7% | |
| TD Ameritrade Self Directed Brokerage Accounts | — | — | — | $424K | 3.1% | |
| Vanguard Target Retirement 2060 Inv | — | — | — | $280K | 2.0% | |
| Vanguard Total Stock Mrk Index Admiral | — | — | — | $232K | 1.7% | |
| Vanguard Target Retirement Income Inv | — | — | — | $194K | 1.4% | |
| Vanguard Target Retirement 2050 Inv | — | — | — | $182K | 1.3% | |
| Vanguard Target Retirement 2065 Inv | — | — | — | $33K | 0.2% | |
| Vanguard Total Bond Market Index Admiral ** 1 Vanguard Total Intl Stock Index Admiral | — | — | — | $28K | 0.2% |