<SEC-DOCUMENT>0001415889-17-000943.txt : 20170607
<SEC-HEADER>0001415889-17-000943.hdr.sgml : 20170607
<ACCEPTANCE-DATETIME>20170607165011
ACCESSION NUMBER:		0001415889-17-000943
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20170606
ITEM INFORMATION:		Shareholder Nominations Pursuant to Exchange Act Rule 14a-11
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20170607
DATE AS OF CHANGE:		20170607

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:		17897761

	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-06072017_010600.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">FORM 8-K</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">June 6, 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">Missouri</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman;">(State or other jurisdiction of incorporation or organization)</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 5.08  Shareholder Director Nominations.</b></font></div>

<p align="left" style="clear:both;"><font style="display: inline; font-size: 10pt; font-family: Times New Roman;text-align:left;">The Board of Directors of Hawthorn Bancshares, Inc. announced that at the Company's June 6, 2017 Annual Meeting of Shareholders, Kathleen L. Bruegenhemke was elected as a Class I director and Philip D. Freeman was re-elected as a Class I director to serve three-year terms expiring 2020.<br><br>
Shareholders also approved ratification of the appointment of KPMG, LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2017 and they approved a nonbinding resolution concerning compensation paid to the Company's executives.<br><br>
Shareholders also defeated a shareholder proposal to require that the responsibilities of the Chairman of the Board of Directors be separated from the responsibilities of the Chief Executive Officer.</font></p>

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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 9.01 Financial Statements and Exhibits.</b></font></div>

<p align="left" style="clear:both;"><font style="display: inline; font-size: 10pt; font-family: Times New Roman;text-align:left;">The full text of this press release is furnished as an exhibit to this 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>June 7, 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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				<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 Results of 2017 Annual Meeting</font></div>
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<TYPE>EX-99
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<FILENAME>ex99-06072017_010600.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 R</b><b>esults of </b><b>201</b><b>7</b><b> Annual Meeting</b></p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman"><b>JEFFERSON CITY</b><b>, </b><b>M</b><b>O</b><b>.</b> <b><font style="font-family:Arial Unicode MS,Times New Roman">&mdash;</font></b><b> </b><b>June </b><b>7</b><b>, </b><b>201</b><b>7</b> <b><font style="font-family:Arial Unicode MS,Times New Roman">&mdash;</font></b> The Board of Directors of Hawthorn Bancshares, Inc. (NASDAQ: HWBK) announced that at the Company<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s June 6, 2017 Annual Meeting of Shareholders, Kathleen L. Bruegenhemke was elected as a Class I director and Philip D. Freeman was re-elected as a Class I director to serve three-year terms expiring 2020. &nbsp;</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Ms. Bruegenhemke has served as a director since March 2017 and is Chief Operating Officer of Hawthorn Bank. &nbsp;Mr. Freeman has served as director since 1993 and is currently owner of Freeman Properties JCMO, LLC. &nbsp;</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Other members of the 5 member board include Frank E. Burkhead, Kevin L. Riley and David T. Turner. &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 Dr. Gus S. Wetzel, II.</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Shareholders approved ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2017 and they approved a nonbinding resolution concerning compensation paid to the Company<font style="font-family:Arial Unicode MS,Times New Roman">&rsquo;</font>s executives.</p>
<p style="margin-top:6.067px; margin-bottom:6.067px; font-family:Verdana,Times New Roman">Shareholders also defeated a shareholder proposal to require that the responsibilities of the Chairman of the Board of Directors be separated from the responsibilities of the Chief Executive Officer. &nbsp;</p>
<p style="margin-top:0px; margin-bottom:14.533px; font-family:Verdana,Times New Roman"><b>About Hawthorn Bancshares</b></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:Verdana,Times New Roman; color:#0000FF"><u>www.HawthornBancshares.com</u></p>
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<p style="margin:0px; font-size:12pt"><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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