JAMES E/MO SMITH

CIK 1196017 · Chairman & CEO · last filed 2013-06-26

JAMES E/MO SMITH is a Chairman & CEO who has filed 5 SEC Form 4 insider transactions across 2 companies since 2007. The most recent filing shows the insider bought $14.1K of HWBK on Jun 26, 2013. Across all open-market trades the lifetime net is +$21.2K, making them a net buyer over the disclosed history. Current disclosed insider exposure totals $1.8M across reported positions.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Disclosed Exposure

$1.79M

Companies

2

Total Filings

5

Lifetime Open-Market Net

$21.2K

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.

Symbol	Role	Shares	Price	Disclosed Exposure	Lifetime OM Net	Filings	Latest Filed
HWBK	Chairman & CEO	44,939	$39.84	$1.79M	$21.2K	4	2013-06-26
HAWTHORN BANCSHARES, INC. (EXJF) Delisted	Chairman & CEO	20,212	—	—	$0	1	2007-05-01

Recent Filings

5 filings

Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.

Filed	Symbol	Action	Net Shares	Net $	Link
2013-06-26	HWBK	Buy (P)	+1,200	$14.1K	EDGAR
2009-08-28	HWBK	Buy (P)	+136	$1.4K	EDGAR
2008-09-25	HWBK	Grant (A)	—	$0	EDGAR
2007-12-26	HWBK	Buy (P)	+200	$5.8K	EDGAR
2007-05-01	HAWTHORN BANCSHARES, INC. (EXJF) Delisted	Grant (A)	—	$0	EDGAR

Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.