Hawthorn Bancshares, Inc. HWBK US Equity
Hawthorn Bancshares, Inc. (Nasdaq: HWBK), an SEC filer in National Commercial Banks, closed at $39.14, +0.1%, on 2026-08-28, with a market cap of $270M as of 2026-08-27, a trailing P/E of 11.4, a return on equity of 14.7%, a net margin of 29.7% and 3-year sales growth of 3.3%. Institutional ownership, earnings history and filed financials are on the tabs below.
Legal & controls
Item 3 and Item 9A as filed · every verdict is the registrant’s own sentence, printed below it · a filing that fails an extraction gate reads “not extracted”
| Fiscal year | Filed | Item 3 | ICFR | disclosure controls | material weakness | Filing |
|---|---|---|---|---|---|---|
| 2025-12-31 | 2026-03-05 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · The information required by this Item is set forth in Note 19, "Commitments and Contingencies", in the Company's consolidated financial statements, included under the caption "Notes to the Consolidated Financial Statements" in the Company's 2025 Annual Report to Shareholders (included as Exhibit 13 hereto), incorporated herein by reference. Item 9A · ICFR · Based upon its assessment, management has concluded that, as of December 31, 2025, the Company's internal control over financial reporting, is effective based on the criteria established in Internal Control-Integrated Framework (2013). Item 9A · disclosure controls · Based on that evaluation, the Company's management, including the Chief Executive Officer and Chief Financial Officer, concluded that, as of December 31, 2025, the Company's disclosure controls and procedures were effective. | ||||||
| 2024-12-31 | 2025-03-17 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · The information required by this Item is set forth in Note 19, Commitments and Contingencies, in the Company's consolidated financial statements, included under the caption "Consolidated Financial Statement" in the Company's 2024 Annual Report to Shareholders (included as Exhibit 13.1 hereto), incorporated herein by reference. Item 9A · ICFR · Based upon its assessment, management has concluded that, as of December 31, 2024, the Company's internal control over financial reporting, is effective based on the criteria established in Internal Control-Integrated Framework (2013). Item 9A · disclosure controls · Based on that evaluation, the Company's management, including the Chief Executive Officer and Chief Financial Officer, concluded that, as of December 31, 2024, the Company's disclosure controls and procedures were effective. | ||||||
| 2023-12-31 | 2024-03-18 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · The information required by this Item is set forth in Note 19, Commitments and Contingencies, in the Company's consolidated financial statements, included under the caption "Consolidated Financial Statement" in the Company's 2023 Annual Report to Shareholders (included as Exhibit 13.1 hereto), incorporated herein by reference. Item 9A · ICFR · Based upon its assessment, management has concluded that, as of December 31, 2023, the Company's internal control over financial reporting, is effective based on the criteria established in Internal Control-Integrated Framework (2013). Item 9A · disclosure controls · Based on that evaluation, the Company's management, including the Chief Executive Officer and Chief Financial Officer, concluded that, as of December 31, 2023, the Company's disclosure controls and procedures were effective. | ||||||
| 2022-12-31 | 2023-03-29 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · The information required by this Item is set forth in Note 19, Commitments and Contingencies, in the Company's consolidated financial statements, included in the Company's Annual Report to Shareholders for the year ended December 31, 2022, incorporated herein by reference. Item 9A · ICFR · Based upon its assessment, management has concluded that, as of December 31, 2022, the Company's internal control over financial reporting, is effective based on the criteria established in Internal Control-Integrated Framework (2013). Item 9A · disclosure controls · Based on that evaluation, the Company's management, including the Chief Executive Officer and Chief Financial Officer, concluded that, as of December 31, 2022, the Company's disclosure controls and procedures were effective. | ||||||
| 2021-12-31 | 2022-03-17 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · The information required by this Item is set forth in Note 19, Commitments and Contingencies, in the Company's consolidated financial statements. Item 9A · ICFR · Based upon its assessment, management has concluded that, as of December 31, 2021, the Company's internal control over financial reporting, is effective based on the criteria established in Internal Control-Integrated Framework (2013). Item 9A · disclosure controls · Based on that evaluation, the Company's management, including the Chief Executive Officer and Chief Financial Officer, concluded that, as of December 31, 2021, the Company's disclosure controls and procedures were effective. | ||||||
5 of 5 annual reports on record have their filing text cached on this host; the rest are listed with their EDGAR link and no extraction, because this surface never fetches from SEC on a page load.
- Item 3 and Item 9A are located in the filing HTML already cached on this host and read with the same line-anchored item matcher and largest-gap body disambiguation the filing-narrative pass uses for Item 1A and Item 7 — no fetch, no model, no summarization.
- A heading is accepted as a section only when it is not a table-of-contents row (a trailing page number), not a quoted reference in prose, and names its own section; the span must then clear a per-item length band and carry readable text after the heading. Anything that fails a gate is served as 'not extracted' with the reason — never as a default value.
- An effectiveness conclusion is read only from a sentence that names its own control set (disclosure controls and procedures, or internal control over financial reporting) and states an outcome. Conditional sentences — the standard limitations paragraph and forward-looking remediation language — are excluded, because they are hypotheses rather than conclusions.
- When a filing's own sentences disagree — an effective conclusion beside an unremediated material-weakness disclosure, or two conclusions of opposite sign — no verdict is asserted. A wrong 'controls were effective' reading is worse than no reading.
- Every verdict is shown beside the verbatim sentence it was read from. The excerpt is the filing's own words, capped at 1,200 characters; the filing itself is one link away.