SEC Form 4 · accession 0001415889-18-001326
HAWTHORN BANCSHARES, INC. · HWBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathleen L Bruegenhemke
Officer — SENIOR VICE PRESIDENT · Director
Period of report
Aug 31, 2018
Accepted (ET)
Sep 6, 2018 · 2:26 pm EDT
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 Stock | Aug 31, 2018 | M | 1,833 | $14.20 | A | 18,389 | D | |
| Common Stock | Aug 31, 2018 | F | 1,157 | $22.50 | D | 17,232 | D | |
| Common Stock | holding | — | — | — | 3,534 | I | IRA | |
| Common Stock | holding | — | — | — | 43,709 | I | Profit Sharing Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1,F2 | $14.20 | Aug 31, 2018 | M | 1,833 | D | Sep 22, 2009 | Sep 22, 2018 | Common Stock | 1,833 | — | D |
Explanation of responses
- F1This option was granted on September 22, 2008 and was originally reported as being exercisable for 1,238 shares of common stock at an exercise price of $21.01 per share, but has been adjusted to reflect the stock dividends declared by the Issuer subsequent to that date.
- F225% per year beginning September 22, 2009.