SEC Form 4 · accession 0001415889-18-001425
HAWTHORN BANCSHARES, INC. · HWBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David T Turner
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Sep 21, 2018
Accepted (ET)
Sep 25, 2018 · 2:48 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 | Sep 21, 2018 | M | 9,514 | $14.20 | A | 34,542 | D | |
| Common Stock | Sep 21, 2018 | F | 5,824 | $23.20 | D | 28,718 | D | |
| Common Stock | holding | — | — | — | 42,785 | I | By 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 | Sep 21, 2018 | M | 9,514 | D | Sep 22, 2009 | Sep 22, 2018 | Common Stock | 9,514 | 0 | D |
Explanation of responses
- F1This option was granted on September 22, 2008 and was originally reported as being exercisable for 6,426 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.
- F2This option was originally reported as being exercisable for 739 shares on September 22, 2015, for 4,759 shares on September 22, 2016 and for 928 shares on September 22, 2017, but has been adjusted to reflect the stock dividend declared by the Issuer subsequent to the September 22, 2008 grant date.