<SEC-DOCUMENT>0001415889-20-001086.txt : 20200428
<SEC-HEADER>0001415889-20-001086.hdr.sgml : 20200428
<ACCEPTANCE-DATETIME>20200428165616
ACCESSION NUMBER:		0001415889-20-001086
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200428
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20200428
DATE AS OF CHANGE:		20200428

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:		20825859

	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-04282020_010404.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">April 28, 2020</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">573-761-6100</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:</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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	<font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR 230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR 240.12b-2)</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">Emerging growth company [  ]</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">Securities registered pursuant to Section 12(b) of the Act:</font></div>
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            <font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman; FONT-WEIGHT: bold; TEXT-DECORATION: underline;">Title of each class</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman;">Common Stock, par value $1.00 per share</font>
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            <font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman; FONT-WEIGHT: bold; TEXT-DECORATION: underline;">Trading Symbol(s)</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman;">HWBK</font>
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            <font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman; FONT-WEIGHT: bold; TEXT-DECORATION: underline;">Name of exchange on which registered</font><br><font style="DISPLAY: inline; font-size: 10pt; FONT-FAMILY: times new roman">The Nasdaq Stock Market, LLC
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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;">Effective May 11, 2020 W. Bruce Phelps will retire as Senior Vice President, Chief Financial Officer of Hawthorn Bancshares, Inc. and as Chief Financial Officer of its subsidiary Hawthorn Bank.  Mr. Phelps will continue his employment with Hawthorn Bancshares until June 30, 2020 to provide for an orderly transition.<br><br>
To fill the vacancy resulting from Mr. Phelps' retirement, Stephen E. Guthrie, age 63, will be appointed as Senior Vice President, Chief Financial Officer of Hawthorn Bancshares, Inc. and as Senior Vice President and Chief Financial Officer of its subsidiary, Hawthorn Bank, effective May 11, 2020.  Prior to joining our company, Mr. Guthrie most recently served as Executive Vice President and Chief Financial Officer of Landmark Bank in Columbia, Missouri, the wholly-owned subsidiary of The Landrum Company. The Landrum Company was recently acquired by Simmons First National Corporation, holding company for Simmons Bank. Mr. Guthrie served as Senior Vice President, Internal Audit and Risk &amp; Controls for Capmark Finance Inc. from September 2006 to May 2010. From 2003 to 2006, Mr. Guthrie served as Vice President, Internal Audit and Corporate Security for AT&amp;T Corp. From 2000 to 2003, Mr. Guthrie served as Vice President, Auditing Services for Pharmacia Corporation. From 1979 to 2000 Mr. Guthrie served in various capacities with Monsanto Company, serving as Chief Financial Officer of Monsanto Canada, Inc. from 1999 to 2000. Mr. Guthrie is a licensed CPA.<br></font></p>






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<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>
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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>April 28, 2020</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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