Other Information
−Removed: During the three months ended March 31, 2026 , no director or officer of the Company adopted , modified or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
−Removed: There were no reportable events during the quarter ended March 31, 2026 otherwise reportable under this Item 5.
+Added: During the three months ended June 30, 2026 , no director or officer of the Company adopted , modified or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
+Added: There were no reportable events during the quarter ended June 30, 2026 otherwise reportable under this Item 5.
+Added: 2.1 Agreement and Plan of Reorganization, by and among the Company, Hawthorn HoldCo, Inc.
+Added: and FSC Bancshares, Inc., dated as of April 29, 2026 (filed as Exhibit 2.1 to the Company’s current report on Form 8-K on April 29, 2026 and incorporated herein by reference).
3.1 Restated Articles of Incorporation of the Company (filed as Exhibit 3.1 to the Company's current report on Form 8-K on August 9, 2007 and incorporated herein by reference).
1 unchanged sentence
4.1 Specimen certificate representing shares of the Company's $1.00 par value Common Stock (filed as Exhibit 4.1 to the Company's current report on Form 8-K/A on June 23, 2017 and incorporated herein by reference).
+Added: 10.1 Form of Non-Employee Director Restricted Stock Unit Award Agreement (filed as Exhibit 10.1 to the Company’s current report on Form 8-K on June 8, 2026 and incorporated herein by reference).
31.1 Certificate of the Chief Executive Officer of the Company pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
13 unchanged sentences
HAWTHORN BANCSHARES, INC.
−Removed: May 8, 2026 Brent M.
+Added: August 6, 2026 Brent M.
Giles, Chief Executive Officer (Principal Executive Officer)
−Removed: May 8, 2026 Chris E.
+Added: August 6, 2026 Chris E.
Hafner, Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer)
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.