Hawthorn Bancshares director files initial Form 3

HAWTHORN BANCSHARES, INC. director James Grant Burcham has filed an initial Form 3, which is a statement of beneficial ownership for insiders.

Accepted by SEC EDGAR 05/11/2026 - 06:12 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

HAWTHORN BANCSHARES, INC. director James Grant Burcham has filed an initial Form 3, which is a statement of beneficial ownership for insiders. The filing data provided shows no reported common stock or derivative transactions, with all buy, sell, and exercise counts listed as zero.

Key Figures

Buy transactions reported: 0 Sell transactions reported: 0 Net buy/sell shares: 0 +2 more

5 metrics

Buy transactions reported 0 transactionSummary buyCount

Sell transactions reported 0 transactionSummary sellCount

Net buy/sell shares 0 transactionSummary netBuySellShares

Derivative transactions reported 0 transactionSummary derivativeTransactionCount

Holding entries 0 transactionSummary holdingEntries

Key Terms

Form 3, reportingPersons, is_ten_percent_owner, derivativeTransactionCount

4 terms

Form 3 regulatory

"INSIDER FILING DATA (Form 3):"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

reportingPersons regulatory

""reportingPersons": [ { "name": "Burcham James Grant""

is_ten_percent_owner regulatory

""is_ten_percent_owner": 0"

derivativeTransactionCount financial

""derivativeTransactionCount": 0"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the HAWTHORN BANCSHARES (HWBK) Form 3 for James Grant Burcham show?

The Form 3 records James Grant Burcham as a director of Hawthorn Bancshares. The provided data shows no reported buy, sell, or derivative transactions, with all transaction counts and share amounts listed as zero in this initial ownership statement.

Does the HWBK Form 3 for James Grant Burcham report any insider share purchases or sales?

No insider purchases or sales are reported. The transactionSummary shows buyCount, sellCount, and netBuySellShares all at zero, indicating no common stock trades are included in this Form 3 data excerpt for James Grant Burcham.

Are any derivative securities reported in the HWBK Form 3 for James Grant Burcham?

No derivative securities are reported. The derivativeSummary is empty and derivativeTransactionCount is zero, indicating there are no options, warrants, or other derivative positions disclosed in the provided Form 3 data for this reporting person.

Is James Grant Burcham a ten percent owner of Hawthorn Bancshares according to this Form 3?

According to the Form 3 data, the is_ten_percent_owner field is set to 0 for James Grant Burcham. This indicates he is identified as a director but not classified as a ten percent beneficial owner of Hawthorn Bancshares in this filing.

Does the HWBK Form 3 show any gifts, tax withholdings, or restructuring transactions?

No such items are shown. The transactionSummary fields for giftCount, taxWithholdingCount, and restructuringCount are all zero, indicating no gifts, tax-withholding dispositions, or restructuring-related transfers in this Form 3 data excerpt.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Burcham James Grant

(Last) (First) (Middle)

132 EAST HIGH STREET

PO BOX 688

(Street)

JEFFERSON CITY MISSOURI 65102-0688

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
04/29/2026

3. Issuer Name and Ticker or Trading Symbol
HAWTHORN BANCSHARES, INC. [ HWBK ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

No securities are beneficially owned.

	/s/ Arla R. Surls, Attorney-in-Fact for James Grant Burcham	05/11/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)