SEC Form 5 · accession 0001415889-17-000180
HAWTHORN BANCSHARES, INC. · HWBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E/mo Smith
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 3, 2017 · 4:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000893847
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 36,953 | D | ||
| Common Stock | holding | — | — | — | 339 | I | Retirement Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes shares acquired since last report from the Company's July 1, 2016 4% stock dividend.