Name
|
| |
Age
|
| |
Position With Our Company
|
| |
Director Since
|
|
NOMINEES | | | | | | | | | | |
Class I: New term to expire in 2023
|
| | | | | | | | | |
Philip D. Freeman
|
| |
66
|
| | Director | | |
1993
|
|
Kathleen L. Bruegenhemke
|
| |
54
|
| | Senior Vice President, Secretary, Chief Operations, Risk Officer and Director | | |
2017
|
|
Jonathan D. Holtaway
|
| |
49
|
| | Director | | |
2019
|
|
DIRECTORS CONTINUING IN OFFICE | | | | | | | | |||
Class II: Term to expire in 2021
|
| | | | | | | | | |
Frank E. Burkhead
|
| |
48
|
| | Director | | |
2014
|
|
Gus S. Wetzel, III
|
| |
41
|
| | Director | | |
2018
|
|
Class III: Term to expire in 2022
|
| | | | | | | | | |
Kevin L. Riley
|
| |
64
|
| | Director | | |
1995
|
|
David T. Turner
|
| |
63
|
| |
Chairman, President, CEO and
Director |
| |
1997
|
|
Name
|
| |
Fees Earned or
Paid in Cash ($)(1) |
| |
All Other
Compensation ($)(2) |
| |
Total
($) |
| |||||||||
Frank E. Burkhead
|
| | | | 34,200 | | | | | | 500 | | | | | | 34,700 | | |
Philip D. Freeman
|
| | | | 34,200 | | | | | | 500 | | | | | | 34,700 | | |
Jonathan D. Holtaway
|
| | | | 21,900 | | | | | | 0 | | | | | | 21,900 | | |
Kevin L. Riley
|
| | | | 34,200 | | | | | | 500 | | | | | | 34,700 | | |
Gus S. Wetzel, III
|
| | | | 34,200 | | | | | | 500 | | | | | | 34,700 | | |
Name
|
| |
Hawthorn
Bancshares Retainer ($) |
| |
Hawthorn
Bancshares Meeting Fees ($) |
| |
Hawthorn
Bank Meeting Fees ($) |
| |
Total Fees
Earned or Paid in Cash ($) |
| ||||||||||||
Frank E. Burkhead
|
| | | | 18,000 | | | | | | 8,400 | | | | | | 7,800 | | | | | | 34,200 | | |
Philip D. Freeman
|
| | | | 18,000 | | | | | | 8,400 | | | | | | 7,800 | | | | | | 34,200 | | |
Jonathan D. Holtaway
|
| | | | 13,500 | | | | | | 2,400 | | | | | | 6,000 | | | | | | 21,900 | | |
Kevin L. Riley
|
| | | | 18,000 | | | | | | 8,400 | | | | | | 7,800 | | | | | | 34,200 | | |
Gus S. Wetzel, III
|
| | | | 18,000 | | | | | | 8,400 | | | | | | 7,800 | | | | | | 34,200 | | |
| Base salary: | | | Designed to compensate employees competitively relative to the market; | |
| Performance-based incentive compensation: | | | Designed to reward short-term performance, particularly the achievement of annual performance objectives; | |
| Long-term equity incentive compensation: | | | Designed to encourage creation of long-term shareholder value and reward long-term performance; and | |
| Retirement and other benefits: | | | Designed to provide competitive benefits. | |
Tier
|
| |
Target
|
| |
Maximum
|
| ||||||
Tier 1
|
| | | | 35% | | | | | | 52% | | |
Tier 2
|
| | | | 25% | | | | | | 37% | | |
Tier 3
|
| | | | 20% | | | | | | 30% | | |
Tier 4
|
| | | | 15% | | | | | | 22% | | |
Tier 5
|
| | | | 10% | | | | | | 15% | | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($) |
| |
Option
Awards ($) |
| |
Non-Equity
Incentive Plan Compensation ($)(1) |
| |
Nonqualified
Deferred Compensation Earnings ($) |
| |
All other
Compensation ($)(2) |
| |
Total
($) |
| ||||||||||||||||||||||||
David T. Turner
Chairman, President & CEO |
| | | | 2019 | | | | | | 476,019 | | | | | | — | | | | | | — | | | | | | 145,017 | | | | | | — | | | | | | 33,476 | | | | | | 654,512 | | |
| | | 2018 | | | | | | 476,019 | | | | | | — | | | | | | — | | | | | | 136,473 | | | | | | — | | | | | | 33,297 | | | | | | 645,789 | | | ||
| | | 2017 | | | | | | 462,155 | | | | | | — | | | | | | — | | | | | | 148,080 | | | | | | — | | | | | | 32,985 | | | | | | 643,220 | | | ||
W. Bruce Phelps
Chief Financial Officer |
| | | | 2019 | | | | | | 212,103 | | | | | | — | | | | | | — | | | | | | 53,924 | | | | | | — | | | | | | 28,302 | | | | | | 294,329 | | |
| | | 2018 | | | | | | 205,925 | | | | | | 1,000 | | | | | | — | | | | | | 37,255 | | | | | | — | | | | | | 24,030 | | | | | | 268,210 | | | ||
| | | 2017 | | | | | | 199,928 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 23,592 | | | | | | 223,520 | | | ||
Kathleen L. Bruegenhemke
Senior Vice President, Secretary, Chief Operations & Risk Officer |
| | | | 2019 | | | | | | 203,528 | | | | | | — | | | | | | — | | | | | | 40,440 | | | | | | — | | | | | | 29,715 | | | | | | 273,683 | | |
| | | 2018 | | | | | | 195,700 | | | | | | 1,000 | | | | | | — | | | | | | 30,655 | | | | | | — | | | | | | 27,154 | | | | | | 254,509 | | | ||
| | | 2017 | | | | | | 190,000 | | | | | | — | | | | | | — | | | | | | 45,569 | | | | | | — | | | | | | 23,669 | | | | | | 259,238 | | |
Name
|
| |
Executive
Contributions in Last Fiscal Year ($) |
| |
Registrant
Awards/ Contributions in Last Fiscal Year ($) |
| |
Aggregate
Earnings in Last Fiscal Year ($) |
| |
Aggregate
Withdrawals/ Distributions ($)(1) |
| |
Aggregate
Balance at Last Fiscal Year-End ($) |
| |||||||||||||||
David T. Turner
|
| | | | 25,000 | | | | | | 20,248 | | | | | | 399,056 | | | | | | — | | | | | | 1,981,599 | | |
W. Bruce Phelps
|
| | | | 12,852 | | | | | | 18,187 | | | | | | 53,365 | | | | | | — | | | | | | 260,699 | | |
Kathleen L. Bruegenhemke
|
| | | | 25,000 | | | | | | 16,633 | | | | | | 286,642 | | | | | | — | | | | | | 1,325,052 | | |
Benefit
|
| |
Termination
without Cause or for Good Reason After Change in Control |
| |||
David T. Turner
|
| | | | | | |
Cash payment based on prior year salary(1)
|
| | | | 1,428,057 | | |
Cash payment based on prior year bonus(2)
|
| | | | 409,419 | | |
Cash payment based on current year bonus(3)
|
| | | | 145,017 | | |
Accrued and unpaid vacation pay
|
| | | | 64,079 | | |
280G tax gross-up(4)
|
| | | | 1,278,085 | | |
Total for Mr. Turner
|
| | | | 3,324,657 | | |
Kathleen L. Bruegenhemke
|
| | | | | | |
Cash payment based on prior year salary(1)
|
| | | | 391,400 | | |
Cash payment based on prior year bonus(2)
|
| | | | 61,310 | | |
Cash payment based on current year bonus(3)
|
| | | | 40,440 | | |
Accrued and unpaid vacation pay
|
| | | | 27,398 | | |
280G tax gross-up(4)
|
| | | | 325,082 | | |
Total for Ms. Bruegenhemke
|
| | | | 845,630 | | |
Type of Fee
|
| |
2019
|
| |
2018
|
| ||||||
Audit Fees(1)
|
| | | $ | 430,000 | | | | | $ | 415,000 | | |
Audit-Related Fees
|
| | | | 10,900 | | | | | | 12,800 | | |
HUD
|
| | | | 50,000 | | | | | | 10,000 | | |
Tax Fees(2)
|
| | | | 49,000 | | | | | | 43,000 | | |
All Other Fees
|
| | | | 25,805 | | | | | | 100,000 | | |
Total
|
| | | $ | 565,705 | | | | | $ | 580,800 | | |
|
Philip D. Freeman
|
| |
Frank E. Burkhead
|
| |
Kevin L. Riley
|
| |
Gus S. Wetzel, III
|
|
Name
|
| |
Amount and Nature of
Beneficial Ownership(1) |
| |
Percentage of
Shares Outstanding(1) |
| ||||||
Kathleen L. Bruegenhemke(2)
|
| | | | 69,518.78 | | | | | | 1.1% | | |
Frank E. Burkhead(3)
|
| | | | 11,965.65 | | | | | | * | | |
Philip D. Freeman(4)
|
| | | | 79,413.01 | | | | | | 1.3% | | |
Jonathan D. Holtaway(5)
|
| | | | 307,620.00 | | | | | | 4.9% | | |
Kevin L. Riley(6)
|
| | | | 25,488.33 | | | | | | * | | |
David T. Turner(7)
|
| | | | 76,897.35 | | | | | | 1.2% | | |
W. Bruce Phelps(8)
|
| | | | 2,921.69 | | | | | | * | | |
Gus S. Wetzel, III(9)
|
| | | | 98,472.44 | | | | | | 1.6% | | |
All directors & executive officers as a group (8 persons)
|
| | | | 672,297.25 | | | | | | 10.8% | | |
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