Filing Details
- Accession Number:
- 0001209191-11-057370
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-21 15:58:55
- Reporting Period:
- 2011-11-18
- Filing Date:
- 2011-11-21
- Accepted Time:
- 2011-11-21 15:58:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1196018 | T David Turner | 742 Turnberry Drive Jefferson City MO 65109 | President | Yes | 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 | 12,096 | 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 | 24,412 | Indirect | Profit Sharing |
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 | 8,390 | 8,390 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $24.57 | 2004-03-03 | 2013-03-03 | 7,138 | 7,138 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $32.59 | 2005-02-19 | 2014-02-19 | 5,903 | 5,903 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $26.30 | 2006-04-21 | 2015-04-21 | 7,459 | 7,459 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $27.69 | 2007-03-03 | 2016-03-03 | 7,298 | 7,298 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $30.97 | 2008-04-27 | 2017-04-27 | 7,748 | 7,748 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $19.42 | 2009-09-22 | 2018-09-22 | 6,950 | 6,950 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-02-14 | 8,390 | 8,390 | Direct |
| 2013-03-03 | 7,138 | 7,138 | Direct |
| 2014-02-19 | 5,903 | 5,903 | Direct |
| 2015-04-21 | 7,459 | 7,459 | Direct |
| 2016-03-03 | 7,298 | 7,298 | Direct |
| 2017-04-27 | 7,748 | 7,748 | Direct |
| 2018-09-22 | 6,950 | 6,950 | 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.
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