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style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:93.85%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr style="height:12.25pt;"><td style="vertical-align:top;width:6.14%;margin:0pt;padding:0pt;"><div style="height:12.25pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><ix:nonNumeric contextRef="Duration_6_8_2021_To_6_8_2021_OB7iTsCpv0G1I2bahewvAQ" 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id="Tc_x23i43-E9EORaAFqcetygQ_2_2"></a><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;width:99.5%;"><tr style="height:1pt;"><td style="vertical-align:top;width:37.09%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td style="vertical-align:top;width:25.16%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td style="vertical-align:top;width:37.74%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td></tr><tr style="height:0.95pt;"><td style="vertical-align:top;width:37.09%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:0.95pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td style="vertical-align:top;width:25.16%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:0.95pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td style="vertical-align:top;width:37.74%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:0.95pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td></tr><tr style="height:12.95pt;"><td style="vertical-align:top;width:37.09%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:0pt 5.15pt 0pt 5.15pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt 0pt 2.2pt 0pt;">Title of each class</p></td><td style="vertical-align:top;width:25.16%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:0pt 5.15pt 0pt 5.15pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt 0pt 2.2pt 0pt;">Trading Symbol(s)</p></td><td style="vertical-align:top;width:37.74%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:0pt 5.15pt 0pt 5.15pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt 0pt 2.2pt 0pt;">Name of each exchange on which registered</p></td></tr><tr style="height:12.95pt;"><td style="vertical-align:top;width:37.09%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:0pt 5.15pt 0pt 5.15pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_6_8_2021_To_6_8_2021_OB7iTsCpv0G1I2bahewvAQ" name="dei:Security12bTitle" id="Tc_kgL0SKkkE0-1e6PoVm4FPA_3_0"><span style="font-size:9pt;">Common Stock, $1.00 par value</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:25.16%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:0pt 5.15pt 0pt 5.15pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_6_8_2021_To_6_8_2021_OB7iTsCpv0G1I2bahewvAQ" name="dei:TradingSymbol" id="Tc_MMUrq3uWi0mzWFEYZenj0g_3_1"><span style="font-size:9pt;">HWBK</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:37.74%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:0pt 5.15pt 0pt 5.15pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_6_8_2021_To_6_8_2021_OB7iTsCpv0G1I2bahewvAQ" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="Tc_it8WQ3xXMkuTR-UVj240ag_3_2"><span style="font-size:9pt;">The Nasdaq Stock Market LLC</span></ix:nonNumeric></p></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).&#160;&#160;</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt 0pt 0pt 360pt;">Emerging growth company <ix:nonNumeric contextRef="Duration_6_8_2021_To_6_8_2021_OB7iTsCpv0G1I2bahewvAQ" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="Narr_JOTk3DoDz0K06rXXRDn88w"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:11pt 0pt 6pt 0pt;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section&#160;13(a) of the Exchange Act.&#160; <span style="font-family:'Segoe UI Symbol';">&#9744;</span>&#160;</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_0826bf00_613d_44ec_9cd5_bd06595f76fc"></a></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:88.24%;border:0;margin:30pt 5.88% 30pt 5.88%;"></div><div style="max-width:100%;padding-left:5.88%;padding-right:5.88%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:11pt 0pt 0pt 0pt;"><b style="font-weight:bold;">Item 5.07 Submission of Matters to a Vote of Security Holders.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Hawthorn Bancshares, Inc. held its annual meeting of shareholders on Tuesday, June 8, 2021, at which meeting our shareholders voted upon the following matters:</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">*The election of two Class II directors to hold office for a term expiring at our 2024 annual meeting of shareholders and until their respective successors are duly elected and qualified or until their respective earlier resignation or removal;</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">*The ratification and approval of the selection of KPMG, LLP as our independent registered public accounting firm for the year ending December 31, 2021; and</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">*The non-binding advisory vote on executive compensation.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Election of Directors</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="white-space:pre-wrap;">At the annual meeting, Frank E. Burkhead and Gus S. Wetzel, III were elected as Class II directors.  The following is a summary of the votes cast at the annual meeting with respect to the election of directors:</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Frank E. Burkhead</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">For &#8211; 2,937,846</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Against &#8211; 589,372</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Abstain &#8211; 83,193</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">There were 951,711 broker non-votes with respect to this matter.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Gus S. Wetzel, III</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">For &#8211; 3,331,103</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Against &#8211; 195,734</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Abstain &#8211; 83,574</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">There were 951,711 broker non-votes with respect to this matter.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">In addition to the two Class II directors elected at the Annual Meeting, the persons continuing in their term of office as members of our board of directors are:</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Class I Directors (terms to expire in 2023)</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Kathleen L. Bruegenhemke</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Philip D. Freeman</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Jonathan D. Holtaway</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Class III Directors (terms to expire in 2022)</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Kevin L. Riley</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">David T. Turner</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Ratification and Approval of Independent Registered Public Accounting Firm</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="white-space:pre-wrap;">At the annual meeting, the selection of KPMG, LLP as our independent registered public accounting firm for the year ending December 31, 2021 was ratified and approved.  The following is a summary of the votes cast at the annual meeting with respect to this matter:</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">For &#8211; 4,429,034</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Against &#8211; 56,986</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Abstain &#8211; 76,101</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">There were no broker non-votes with respect to this matter.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Advisory Approval of the Compensation of our Executives</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="white-space:pre-wrap;">At the annual meeting, the compensation of our executives disclosed in the proxy statement prepared with respect to the annual meeting was approved.  The following is a summary of the votes cast at the annual meeting with respect to this matter:</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">For &#8211; 3,439,886</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Against &#8211; 49,207</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Abstain &#8211; 121,319</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">There were 951,711 broker non-votes with respect to this matter.</p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:center;margin:0pt;">2</p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:88.24%;border:0;margin:30pt 5.88% 30pt 5.88%;"></div><div style="max-width:100%;padding-left:5.88%;padding-right:5.88%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Additional information regarding the matters voted on at the annual meeting is contained in our proxy statement dated April 29, 2021.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:11pt 0pt 0pt 0pt;"><b style="font-weight:bold;">Item 9.01 Financial Statements and Exhibits.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:11pt 0pt 0pt 0pt;">The full text of the press release is furnished as an exhibit to this report on Form 8-K.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p><div style="margin-left:0pt;"><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:top;width:9.17%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:3.32%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td colspan="2" style="vertical-align:top;width:12.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;text-decoration:underline;text-decoration-color:#000000;">Exhibit No</b></p></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;text-decoration:underline;text-decoration-color:#000000;">Description</b></p></td></tr><tr><td colspan="2" style="vertical-align:top;width:12.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></td></tr><tr><td colspan="2" style="vertical-align:top;width:12.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">99.1</b></p></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><a style="-sec-extract:exhibit;" href="hwbk-20210608xex99d1.htm"><b style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:bold;text-align:left;">Press release, dated June 10, 2021, issued by Hawthorn Bancshares, Inc. announcing results of its Annual Shareholders Meeting.</b></a></p></td></tr><tr><td colspan="2" style="vertical-align:top;width:12.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td colspan="2" style="vertical-align:top;width:12.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">104</b></p></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Cover Page Interactive Data File &#8211; the cover page XBRL tags are embedded within the Inline XBRL document.</b></p></td></tr><tr><td colspan="2" style="vertical-align:top;width:12.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td colspan="2" style="vertical-align:top;width:12.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:87.5%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:11pt 0pt 12pt 0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:center;margin:0pt;">3</p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:88.24%;border:0;margin:30pt 5.88% 30pt 5.88%;"></div><div style="max-width:100%;padding-left:5.88%;padding-right:5.88%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><a id="part_1_2_2"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:2pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">SIGNATURES</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:13.19pt 0pt 0pt 0pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span 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style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:2.27%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:middle;width:44.07%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr style="height:3.3pt;"><td style="vertical-align:middle;width:45.06%;margin:0pt;padding:0pt;"></td><td style="vertical-align:bottom;width:0.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:middle;width:3.89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:0.64%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:middle;width:3.04%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:2.27%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:middle;width:44.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td></tr><tr style="height:12.4pt;"><td style="vertical-align:top;width:45.06%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt;">Dated: June 10, 2021</p></td><td style="vertical-align:bottom;width:0.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td style="vertical-align:top;width:3.89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:0.64%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td colspan="3" style="vertical-align:top;width:49.39%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt 0pt 12pt 0pt;"><b style="font-weight:bold;">Hawthorn Bancshares, Inc.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt;">By: <span style="text-decoration:underline;text-decoration-color:#000000;white-space:pre-wrap;">/s/ David T. Turner                          </span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt;"><i style="font-style:italic;white-space:pre-wrap;">      Name: David T. Turner</i></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt;"><i style="font-style:italic;white-space:pre-wrap;">     Title: Chairman, CEO &amp; President</i></p></td></tr><tr style="height:3.3pt;"><td style="vertical-align:middle;width:45.06%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td colspan="2" style="vertical-align:middle;width:4.88%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td colspan="2" style="vertical-align:middle;width:3.69%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td colspan="2" style="vertical-align:middle;width:46.35%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td></tr><tr 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style="vertical-align:bottom;width:2.27%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:44.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr style="height:12.4pt;"><td style="vertical-align:top;width:45.06%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:0.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td style="vertical-align:top;width:3.89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:0.64%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td style="vertical-align:top;width:3.04%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:2.27%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td style="vertical-align:top;width:44.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr style="height:12.4pt;"><td style="vertical-align:top;width:45.06%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:0.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:3.89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:0.64%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td style="vertical-align:top;width:3.04%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:2.27%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:44.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:8.8pt;text-indent:-8.8pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:center;margin:0pt;">4</p></div></div>
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​
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):
June 8, 2021
Hawthorn Bancshares, Inc.
(Exact Name of Registrant as Specified in Charter)
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Missouri
0-23636
43-1626350
(State or Other Jurisdiction
of Incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
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132 East High Street
,
PO Box 688
,
Jefferson City
,
Missouri
65102
(Address of Principal Executive Offices) (Zip Code)
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573
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761-6100
(Registrant's telephone number, including area code)
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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock, $1.00 par value
HWBK
The Nasdaq Stock Market LLC
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
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Item 5.07 Submission of Matters to a Vote of Security Holders.
Hawthorn Bancshares, Inc. held its annual meeting of shareholders on Tuesday, June 8, 2021, at which meeting our shareholders voted upon the following matters:
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*The election of two Class II directors to hold office for a term expiring at our 2024 annual meeting of shareholders and until their respective successors are duly elected and qualified or until their respective earlier resignation or removal;
*The ratification and approval of the selection of KPMG, LLP as our independent registered public accounting firm for the year ending December 31, 2021; and
*The non-binding advisory vote on executive compensation.
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Election of Directors
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At the annual meeting, Frank E. Burkhead and Gus S. Wetzel, III were elected as Class II directors.  The following is a summary of the votes cast at the annual meeting with respect to the election of directors:
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Frank E. Burkhead
For – 2,937,846
Against – 589,372
Abstain – 83,193
There were 951,711 broker non-votes with respect to this matter.
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Gus S. Wetzel, III
For – 3,331,103
Against – 195,734
Abstain – 83,574
There were 951,711 broker non-votes with respect to this matter.
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In addition to the two Class II directors elected at the Annual Meeting, the persons continuing in their term of office as members of our board of directors are:
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Class I Directors (terms to expire in 2023)
Kathleen L. Bruegenhemke
Philip D. Freeman
Jonathan D. Holtaway
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Class III Directors (terms to expire in 2022)
Kevin L. Riley
David T. Turner
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Ratification and Approval of Independent Registered Public Accounting Firm
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At the annual meeting, the selection of KPMG, LLP as our independent registered public accounting firm for the year ending December 31, 2021 was ratified and approved.  The following is a summary of the votes cast at the annual meeting with respect to this matter:
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For – 4,429,034
Against – 56,986
Abstain – 76,101
There were no broker non-votes with respect to this matter.
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Advisory Approval of the Compensation of our Executives
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At the annual meeting, the compensation of our executives disclosed in the proxy statement prepared with respect to the annual meeting was approved.  The following is a summary of the votes cast at the annual meeting with respect to this matter:
​
For – 3,439,886
Against – 49,207
Abstain – 121,319
There were 951,711 broker non-votes with respect to this matter.
2
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Additional information regarding the matters voted on at the annual meeting is contained in our proxy statement dated April 29, 2021.
Item 9.01 Financial Statements and Exhibits.
The full text of the press release is furnished as an exhibit to this report on Form 8-K.
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Exhibit No
Description
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99.1
Press release, dated June 10, 2021, issued by Hawthorn Bancshares, Inc. announcing results of its Annual Shareholders Meeting.
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104
Cover Page Interactive Data File – the cover page XBRL tags are embedded within the Inline XBRL document.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Dated: June 10, 2021
Hawthorn Bancshares, Inc.
By:
/s/ David T. Turner
Name: David T. Turner
Title: Chairman, CEO & President
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