Filing Details

The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

  Names of Reporting Persons

  Endeavour Regional Bank Opportunities Fund II L.P.

  Check the Appropriate Box If a Member of a Group (See Instructions)

  a.  ☐        b.  ☐

  SEC Use Only

  Citizenship or Place of Organization

  Delaware

Number of

Shares

  Beneficially  

Owned By

Each

Reporting

Person

With

  Sole Voting Power

  0

  Shared Voting Power

  396,522

  Sole Dispositive Power

  0

  Shared Dispositive Power

  396,522

  Aggregate Amount Beneficially Owned by Each Reporting Person

  396,522

  Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

  ☐

  Percent of Class Represented By Amount in Row (9)

  6.6%

  Type of Reporting Person (See Instructions)

  PN

  Names of Reporting Persons

  Endeavour Capital Advisors Inc.

  Check the Appropriate Box If a Member of a Group (See Instructions)

  a.  ☐        b.  ☐

  SEC Use Only

  Citizenship or Place of Organization

  Delaware

Number of

Shares

  Beneficially  

Owned By

Each

Reporting

Person

With

  Sole Voting Power

  0

  Shared Voting Power

  430,351

  Sole Dispositive Power

  0

  Shared Dispositive Power

  430,351

  Aggregate Amount Beneficially Owned by Each Reporting Person

  430,351

  Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

  ☐

  Percent of Class Represented By Amount in Row (9)

  7.1%

  Type of Reporting Person (See Instructions)

  IA

  Names of Reporting Persons

  Laurence M. Austin

  Check the Appropriate Box If a Member of a Group (See Instructions)

  a.  ☐        b.  ☐

  SEC Use Only

  Citizenship or Place of Organization

  United States of America

Number of

Shares

  Beneficially  

Owned By

Each

Reporting

Person

With

  Sole Voting Power

  0

  Shared Voting Power

  430,351

  Sole Dispositive Power

  0

  Shared Dispositive Power

  430,351

  Aggregate Amount Beneficially Owned by Each Reporting Person

  430,351

  Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

  ☐

  Percent of Class Represented By Amount in Row (9)

  7.1%

  Type of Reporting Person (See Instructions)

  IN, HC

  Names of Reporting Persons

  Mitchell J. Katz

  Check the Appropriate Box If a Member of a Group (See Instructions)

  a.  ☐        b.  ☐

  SEC Use Only

  Citizenship or Place of Organization

  United States of America

Number of

Shares

  Beneficially  

Owned By

Each

Reporting

Person

With

  Sole Voting Power

  0

  Shared Voting Power

  430,351

  Sole Dispositive Power

  0

  Shared Dispositive Power

  430,351

  Aggregate Amount Beneficially Owned by Each Reporting Person

  430,351

  Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

  ☐

  Percent of Class Represented By Amount in Row (9)

  7.1%

  Type of Reporting Person (See Instructions)

  IN, HC

Name of Issuer: Hawthorn Bancshares, Inc. (the Issuer)

Address of the Issuers Principal Executive Offices:

Name of Person Filing:

Principal Business Address or, if none, Residence:

Citizenship of Person Filing:

Title of Class of Securities: Common Stock, par value $1.00 per share

CUSIP Number: 420476103

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is a

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);

An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813);

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);

Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b) (1)(ii)(J), please specify the type of institution:

Ownership:

Ownership of Five Percent or Less of a Class:

Ownership of More than Five Percent on Behalf of Another Person:

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:

Identification and Classification of Members of the Group:

Notice of Dissolution of Group:

Certification:

The Reporting Persons disclaim beneficial ownership in the shares reported herein except to the extent of their pecuniary interest therein, and this report shall not otherwise be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.