Filing Details
- Accession Number:
- 0001209191-11-057368
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-21 15:57:41
- Reporting Period:
- 2011-11-18
- Filing Date:
- 2011-11-21
- Accepted Time:
- 2011-11-21 15:57:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 893847 | Hawthorn Bancshares Inc. | HWBK | National Commercial Banks (6021) | 431626350 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1196019 | L Kathleen Bruegenhemke | 5859 Rocky Point Court Columbia MO 65202 | Senior Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-11-18 | 1,000 | $6.21 | 1,427 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,690 | Indirect | Retirement Account |
| Common Stock | 22,612 | Indirect | Profit Sharing Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | $17.26 | 2003-02-14 | 2012-02-14 | 2,203 | 2,203 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $24.57 | 2004-03-03 | 2013-03-03 | 1,579 | 1,579 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $32.59 | 2005-02-19 | 2014-02-19 | 1,220 | 1,220 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $26.30 | 2006-04-21 | 2015-04-21 | 1,583 | 1,583 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $27.69 | 2007-03-03 | 2016-03-03 | 1,553 | 1,553 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $30.97 | 2008-04-27 | 2017-04-27 | 1,614 | 1,614 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $19.42 | 2009-09-22 | 2018-09-22 | 1,338 | 1,338 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-02-14 | 2,203 | 2,203 | Direct |
| 2013-03-03 | 1,579 | 1,579 | Direct |
| 2014-02-19 | 1,220 | 1,220 | Direct |
| 2015-04-21 | 1,583 | 1,583 | Direct |
| 2016-03-03 | 1,553 | 1,553 | Direct |
| 2017-04-27 | 1,614 | 1,614 | Direct |
| 2018-09-22 | 1,338 | 1,338 | Direct |
Footnotes
- Includes shares acquired since last report pursuant to Company DRIP program.Includes shares acquired since last report from the Company's July 1, 2011 4% stock dividend.
Billionaire Hedge Funds
