Hawthorn Bancshares director granted 500 RSUs

Hettinger Shawna M. reported acquisition or exercise transactions in this Form 4 filing.

Accepted by SEC EDGAR 06/04/2026 - 12:53 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Hettinger Shawna M. reported acquisition or exercise transactions in this Form 4 filing.

Hawthorn Bancshares director receives equity award

Director Shawna M. Hettinger reported an award of 500 shares of Hawthorn Bancshares, Inc. common stock in the form of unvested restricted stock units under the company’s Equity Incentive Plan. These RSUs will fully vest on June 2, 2027, if she continues serving through that date.

In addition to this award, a holding entry shows she directly owns 4,124 shares of common stock following the reported transactions. The grant is compensation-related rather than an open‑market purchase or sale.

Insider Trade Summary

Grant/Award: 500 shares

Grant/Award 1 txn

Insider Hettinger Shawna M.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	500	$0.00	$0.00
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 4,624 shares (Direct)

Holdings Before and After: Common Stock, 4,124 to 4,624 shares (Direct)

Footnotes (1)

1. F1. Represents unvested restricted stock units ("RSUs") granted under the Hawthorn Bancshares, Inc. Equity Incentive Plan that can be settled only in shares of Common Stock. The RSUs will fully vest on June 2, 2027, subject to the reporting person's continued service through the vesting date.

Key Figures

RSU award: 500 restricted stock units RSU grant price: $0.00 per share RSU vesting date: June 2, 2027 +2 more

5 metrics

RSU award 500 restricted stock units Granted June 2, 2026 under Equity Incentive Plan

RSU grant price $0.00 per share Compensation-related award, not open-market purchase

RSU vesting date June 2, 2027 Full vesting subject to continued service

Common shares held 4,124 shares Directly owned following reported transactions

Transaction direction summary 1 acquisition, 1 holding entry No reported open-market buys or sells

Key Terms

restricted stock units, RSUs, Equity Incentive Plan, Form 4, +1 more

5 terms

restricted stock units financial

"Represents unvested restricted stock units ("RSUs") granted under the Hawthorn Bancshares, Inc. Equity Incentive Plan"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

RSUs financial

"The RSUs will fully vest on June 2, 2027, subject to the reporting person's continued service"

RSUs, or restricted stock units, are a form of company shares given to employees as part of their compensation. They are typically awarded with certain restrictions, such as a waiting period before they can be fully owned or sold, similar to earning a gift that becomes fully yours over time. For investors, RSUs can impact a company's stock offerings and reflect how much the company relies on stock-based incentives to attract and retain talent.

Equity Incentive Plan financial

"granted under the Hawthorn Bancshares, Inc. Equity Incentive Plan that can be settled only in shares of Common Stock"

An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

Form 4 regulatory

"INSIDER FILING DATA (Form 4)"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Common Stock financial

"Represents unvested restricted stock units ("RSUs") ... that can be settled only in shares of Common Stock"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

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

What did Shawna M. Hettinger report in this Hawthorn Bancshares (HWBK) Form 4?

She reported receiving 500 unvested restricted stock units that settle in Hawthorn Bancshares common stock. A separate holding line shows she directly owns 4,124 common shares following the reported transactions, reflecting her current equity stake as a director.

Is the Shawna M. Hettinger Form 4 for HWBK a stock purchase or sale?

It is not an open-market purchase or sale; it is a compensation-related equity grant. The filing records 500 restricted stock units awarded at zero price, plus an updated holding entry showing 4,124 directly owned Hawthorn Bancshares common shares.

When do Shawna M. Hettinger’s Hawthorn Bancshares restricted stock units vest?

The 500 restricted stock units fully vest on June 2, 2027, subject to her continued service through that date. Once vested, they can be settled only in shares of Hawthorn Bancshares common stock under the company’s Equity Incentive Plan.

How many Hawthorn Bancshares (HWBK) shares does Shawna M. Hettinger own after this filing?

The Form 4 shows she directly owns 4,124 shares of Hawthorn Bancshares common stock. Separately, she has 500 unvested restricted stock units that will settle in shares if they vest on June 2, 2027, contingent on continued service.

What are the key terms of Shawna M. Hettinger’s Hawthorn Bancshares RSU award?

The award covers 500 restricted stock units that can be settled only in Hawthorn Bancshares common stock. The RSUs vest in full on June 2, 2027, provided she remains in service through that vesting date, according to the Form 4 footnote.

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

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SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Hettinger Shawna M.

(Last) (First) (Middle)

C/O HAWTHORN BANCSHARES, INC.

PO BOX 688

(Street)

JEFFERSON CITY MISSOURI 65102-0688

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/02/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/02/2026		A		500	A	$0	500(1)	D
Common Stock								4,124	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents unvested restricted stock units ("RSUs") granted under the Hawthorn Bancshares, Inc. Equity Incentive Plan that can be settled only in shares of Common Stock. The RSUs will fully vest on June 2, 2027, subject to the reporting person's continued service through the vesting date.

Remarks:

	/s/ Arla R. Surls, Attorney-in-Fact, for Shawna M. Hettinger	06/04/2026
	** 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 4 (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 4: SEC 1474 (03-26)