<SEC-DOCUMENT>0001415889-17-000412.txt : 20170313
<SEC-HEADER>0001415889-17-000412.hdr.sgml : 20170313
<ACCEPTANCE-DATETIME>20170313155411
ACCESSION NUMBER:		0001415889-17-000412
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20170313
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20170313
DATE AS OF CHANGE:		20170313

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			HAWTHORN BANCSHARES, INC.
		CENTRAL INDEX KEY:			0000893847
		STANDARD INDUSTRIAL CLASSIFICATION:	NATIONAL COMMERCIAL BANKS [6021]
		IRS NUMBER:				431626350
		STATE OF INCORPORATION:			MO
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-23636
		FILM NUMBER:		17685161

	BUSINESS ADDRESS:	
		STREET 1:		132 EAST HIGH STREET
		CITY:			JEFFERSON CITY
		STATE:			MO
		ZIP:			65101
		BUSINESS PHONE:		(573)761-6100

	MAIL ADDRESS:	
		STREET 1:		P. O. BOX 688
		CITY:			JEFFERSON CITY
		STATE:			MO
		ZIP:			65102

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	EXCHANGE NATIONAL BANCSHARES INC
		DATE OF NAME CHANGE:	19940323
</SEC-HEADER>
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<TYPE>8-K
<SEQUENCE>1
<FILENAME>form8k-03132017_120303.htm
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<html><head><title>Hawthorn Bancshares, Inc.  - FORM 8-k</title></head><body bgcolor="#ffffff">
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<div style="TEXT-ALIGN: center"><font style="DISPLAY: inline; FONT-WEIGHT: bold; font-size: 10pt; FONT-FAMILY: Times New Roman">UNITED STATES</font></div>
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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-WEIGHT: bold; font-size: 10pt; FONT-FAMILY: Times New Roman">CURRENT REPORT</font></div>
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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman;">Date of report (Date of earliest event reported): &nbsp;</font><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman; TEXT-DECORATION: underline">March 13, 2017</font></div>
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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">Commission File Number: &nbsp;</font><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman; TEXT-DECORATION: underline">0-23636</font></div>
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	<font style="DISPLAY: inline; FONT-WEIGHT: bold; FONT-SIZE: 12pt; FONT-FAMILY: Times New Roman">Hawthorn Bancshares, Inc. </font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">(Exact name of registrant as specified in its charter.)</font>
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			<font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman; TEXT-DECORATION: underline">43-1626350</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman">(IRS Employer Identification No.)</font>
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	<font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman; TEXT-DECORATION: underline">132 East High Street, PO Box 688, Jefferson City, Missouri 65102</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">(Address of principal executive offices)</font>
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	<font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman; TEXT-DECORATION: underline">573-761-6117</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">(Registrant's Telephone number)</font>
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	<font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman;  TEXT-DECORATION: underline">Not Applicable</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">(Former Name or Former Address, if Changed Since Last Report)</font>
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	<font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</font>
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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; text-align:left;"><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">[  ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></div>
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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt;text-align:left;"><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></div>
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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt;text-align:left;"><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">[  ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></div>
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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt;text-align:left;"><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">[  ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></div>

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	</p><div class="left" style="text-align:left;"><font style="display: inline; font-weight: bold; font-size: 10pt; font-family: Times New Roman;"><b>Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</b></font></div>

<p align="left" style="clear:both;"><font style="display: inline; font-size: 10pt; font-family: Times New Roman;text-align:left;">On March 13, 2017 Hawthorn Bancshares announced that Kathleen Bruegenhemke has been elected to serve on its Board of Directors.<br><br>
In addition to Bruegenhemke, Hawthorn Bancshares' board of directors includes Chairman, CEO &amp; President David T. Turner, and independent directors Frank E. Burkhead, Philip D. Freeman and Kevin L. Riley.  The Company's advisory directorate is composed of Charles G. Dudenhoeffer, Jr., David R. Goller, James R. Loyd, Julius F. Wall and Gus S. Wetzel, II.<br><br>
The full text of the press release is furnished as an exhibit to the report on Form 8-k.</font></p>


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<div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt;" align="center"><font style="display: inline; font-weight: bold; font-size: 10pt; font-family: Times New Roman;">SIGNATURES </font></div>
<div style="display: block; text-indent: 0pt;">&nbsp;</div>
<div style="display: block; margin-left: 0pt; text-indent: 0pt; margin-right: 0pt; text-align: justify;" align="justify"><font style="display: inline; font-size: 10pt; font-family: Times New Roman;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. </font></div>
<div style="display: block; text-indent: 0pt;">&nbsp;</div>
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       				<font style="font-size: 10pt; font-family: Times New Roman;FONT-WEIGHT: bold;">Hawthorn Bancshares, Inc. </font>
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        <div style="float:left; width:49%; text-align:left;"><font style="font-size: 10pt; font-family: Times New Roman;">Date:&nbsp;&nbsp; <i>March 13, 2017</i></font></div>
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            <table width="300" cellpadding="0" cellspacing="0" align="center"><tr><td width="30" rowspan="4" valign="top"><font style="font-size: 10pt; font-family: Times New Roman;">By:</font></td>
                    <td nowrap align="left"><font style="font-size: 10pt; font-family: Times New Roman;">/s/ David T. Turner</font></td>
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                </tr><tr><td nowrap align="left"><font style="font-size: 10pt; font-family: Times New Roman;"><i>Name: David T. Turner</i></font></td>
                </tr><tr><td align="left"><font style="font-size: 10pt; font-family: Times New Roman;"><i>Title: Chairman, CEO &amp; President</i></font></td>
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<div align="center"><font style="display: inline; font-weight: bold; font-size: 10pt; font-family: Times New Roman;">Exhibit Index</font></div>
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				<div align="left"><font style="display: inline; font-weight: bold; font-size: 10pt; font-family: Times New Roman;"><b>Exhibit&nbsp;No.</b></font></div>
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				<font size="2">&nbsp;&nbsp;</font>
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				<div><font style="display: inline; font-weight: bold; font-size: 10pt; font-family: Times New Roman;"><b>Description</b></font></div>
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				<div><font style="display: inline; font-size: 10pt; font-family: Times New Roman;">EX-99.1</font></div>
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				<font size="2">&nbsp;&nbsp;</font>
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				<div><font style="display: inline;font-size: 10pt; font-family: Times New Roman;">Hawthorn Bancshares Announces New Board Member</font></div>
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<TYPE>EX-99
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<FILENAME>ex99-03132017_120303.htm
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<p style="margin-top:0px; margin-bottom:9.667px; font-family:Calibri,Times New Roman; font-size:8pt" align="right">Exhibit 99.1</p>
<p style="margin-top:0px; margin-bottom:11.133px; font-family:Verdana,Times New Roman"><b>Hawthorn</b><b> Bancshares </b><b>Announces </b><b>New Board Member</b></p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Jefferson City, Mo. <font style="font-family:Arial Unicode MS,Times New Roman">&mdash;</font> March 13, 2017 <font style="font-family:Arial Unicode MS,Times New Roman">&mdash;</font> Hawthorn Bancshares, Inc. (NASDAQ: HWBK), parent company of Hawthorn Bank, announced Kathleen Bruegenhemke has been elected to serve on its Board of Directors. &nbsp;Ms. Bruegenhemke currently serves as Hawthorn Bancshares<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font> Senior Vice President/Corporate Secretary and Hawthorn Bank<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s Chief Operating &amp; Risk Officer.</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Ms. Bruegenhemke<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s career with the Company<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s subsidiary, Hawthorn Bank, began in 1992 as Internal Auditor. &nbsp;After serving in that capacity for 5 years, duties shifted to various senior management roles including merger and acquisition management, serving on loan and interest rate committees and as president of Hawthorn Bank<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s Columbia, MO market.</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Independent Director Philip Freeman said <font style="font-family:Arial Unicode MS,Times New Roman">&ldquo;</font>As a member of the Audit Committee that hired Kathleen 25 years ago, it is very exciting to have a woman of her caliber progress through the Company. &nbsp;With her previous FDIC regulatory experience, Kathleen was an outstanding hire and I<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>m confident she will be an outstanding member of our Board as well. &nbsp;Additionally, Kathleen<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s financial interests are well aligned with shareholders as an investor herself.<font style="font-family:Arial Unicode MS,Times New Roman">&rdquo;</font> &nbsp;</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">David T. Turner, Chairman, Chief Executive Officer &amp; President of Hawthorn Bancshares and Hawthorn Bank said "I have worked with Kathleen throughout her tenure with Hawthorn and have always valued her incredible talent, independent thinking and dedication to the bank." &nbsp;</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">&nbsp;<font style="font-family:Arial Unicode MS,Times New Roman">&ldquo;</font>I am privileged to join Hawthorn Bancshares<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font> Board of Directors. &nbsp;Hawthorn is an excellent community bank and I look forward to helping further increase shareholder value. &nbsp;Hawthorn is a financially strong, forward-thinking company and it<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s my honor to be part of the Company<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s future.<font style="font-family:Arial Unicode MS,Times New Roman">&rdquo;</font> Bruegenhemke said. </p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Bruegenhemke is a graduate of Truman State University (Kirksville, MO) with a finance degree and of the ABA Stonier Graduate School of Banking (Washington D.C.) &nbsp;&nbsp;She is also a certified public accountant.</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">In addition to Bruegenhemke, Hawthorn Bancshares<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font> board of directors includes Chairman, CEO &amp; President David T. Turner, and independent directors Frank E. Burkhead, Philip D. Freeman and Kevin L. Riley. &nbsp;The Company<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s advisory directorate is composed of Charles G. Dudenhoeffer, Jr., David R. Goller, James R. Loyd, Julius F. Wall and Gus S. Wetzel, II. &nbsp;</p>
<p style="margin-top:0px; margin-bottom:14.533px; font-family:Verdana,Times New Roman">About Hawthorn Bancshares</p>
<p style="margin:0px; font-family:Verdana,Times New Roman">Hawthorn Bancshares, Inc., a financial-bank holding company headquartered in Jefferson City, Missouri, is the parent company of Hawthorn Bank of Jefferson City, Missouri with additional Missouri locations in Lee's Summit, Springfield, Branson, Independence, Liberty, Columbia, Clinton, Windsor, Osceola, Warsaw, Belton, Drexel, Harrisonville, California, and St. Robert. </p>
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<p style="margin-top:0px; margin-bottom:-2px; width:96px; font-family:Verdana,Times New Roman; float:left">Contact: &nbsp;</p>
<p style="margin:0px; text-indent:-2px; font-family:Verdana,Times New Roman">Bruce Phelps</p>
<p style="margin-top:0px; margin-bottom:-2px; width:96px; font-family:Verdana,Times New Roman; clear:left; float:left">&nbsp;</p>
<p style="margin:0px; text-indent:-2px; font-family:Verdana,Times New Roman">Chief Financial Officer</p>
<p style="margin:0px; text-indent:96px; font-family:Verdana,Times New Roman; clear:left">TEL: 573.761.6100 &nbsp;&nbsp;FAX: 573.761.6272</p>
<p style="margin:0px; text-indent:96px; font-family:Calibri,Times New Roman; font-size:11pt">www.HawthornBancshares.com</p>
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<hr style="margin-bottom: 9.6px; padding-top: 9.6px;" noshade size="1"><p style="margin:0px; font-size:12pt; page-break-before:always"><i>Statements made in this press release that suggest Hawthorn Bancshares' or management's intentions, hopes, beliefs, expectations, or predictions of the future include "forward-looking statements" within the meaning of Section 21E of the Securities and Exchange Act of 1934, as amended. &nbsp;It is important to note that actual results could differ materially from those projected in such forward-looking statements. &nbsp;Additional information concerning factors that could cause actual results to differ materially from those projected in such forward-looking statements is contained from time to time in the company's quarterly and annual reports filed with the Securities and Exchange Commission.</i></p>
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<p style="margin:0px; font-size:8pt">DB04/021332.0017/1237703.3 RG12</p>
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