| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| GILES BRENT M | CHIEF EXECUTIVE OFFICER, Director | C/O HAWTHORN BANCSHARES, INC., 132 EAST HIGH STREET, JEFFERSON CITY | /s/ Arla R. Surls, Attorney-in-Fact, for Brent M. Giles | 05 May 2025 | 0001355435 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HWBK | Common Stock | Award | $0 | +8,174 | +42% | $0.000000 | 27,545 | 01 May 2025 | Direct | F1, F2 |
| holding | HWBK | Common Stock | 4,626 | 01 May 2025 | Profit Sharing Trust | F3 | |||||
| holding | HWBK | Common Stock | 13,093 | 01 May 2025 | Trust | F4 |
| Id | Content |
|---|---|
| F1 | Represents restricted stock units ("RSUs") granted under the Hawthorn Bancshares, Inc. Equity Incentive Plan. The RSUs vest in three equal annual installments on the first, second and third anniversary date of the grant, subject to the reporting person's continued employment on such vesting date. |
| F2 | Consists of (a) 35.388 shares of Common Stock, and (b) unvested restricted stock units ("RSUs") awarded to the reporting person under the Hawthorn Bancshares, Inc. Equity Incentive Plan that can be settled only in shares of Common Stock. The RSUs vest as follows: 3,717 units on May 1, 2025; 4,092 units on June 30, 2025; 6,442 units on May 1, 2026; 4,093 units on June 30, 2026; 6,442 units on May 1, 2027; and 2,724 units on May 1, 2028. |
| F3 | Includes shares acquired since the last report pursuant to the Company's Profit Sharing Trust. |
| F4 | Includes shares acquired since the last report pursuant to the Company's DRIP program. |