Form D Raw Data - Electronic Filing Depository

EFDID: 446137EFD: Raw Data

Issuer: FIRST OTTAWA BANCSHARES, INC (0001099668) - D

Accession: 0001099668-22-000002 () (EDGAR Files) (Form D)

Edgar Posted: May. 24, 2022
EFD Posted: May. 24, 2022

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001099668 </ cik >

< entityName > FIRST OTTAWA BANCSHARES, INC </ entityName >

- < issuerAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 815-434-0044 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < edgarPreviousNameList >

< previousName > FIRST OTTAWA BANCSHARES INC </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Steven </ firstName >

< middleName > M. </ middleName >

< lastName > Gonzalo </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Bradley </ firstName >

< middleName > J. </ middleName >

< lastName > Armstrong </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > JOSEPH </ firstName >

< lastName > CHIARIELLO </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > LYNN </ firstName >

< middleName > M. </ middleName >

< lastName > DUBAJIC KELLOGG </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > WILLIAM </ firstName >

< middleName > K. </ middleName >

< lastName > WALSH </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > DONALD </ firstName >

< middleName > J. </ middleName >

< lastName > HARRIS </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > DANIEL </ firstName >

< middleName > K. </ middleName >

< lastName > MILLER </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > BRIAN </ firstName >

< middleName > P. </ middleName >

< lastName > ZABEL </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > VINCENT </ firstName >

< lastName > EASI </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > BILL </ firstName >

< lastName > VOGEL </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > KEVIN </ firstName >

< lastName > STEWARD </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > JOHN </ firstName >

< lastName > ARMSTRONG </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 701 LASALLE STREET </ street1 >

< city > OTTAWA </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61350 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Commercial Banking </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2022-05-17 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isDebtType > true </ isDebtType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 50000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Janney Montgomery Scott LLC </ recipientName >

< recipientCRDNumber > 463 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20 N. Wacker Drive </ street1 >

< street2 > Suite 2035 </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 7750000 </ totalOfferingAmount >

< totalAmountSold > 7750000 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 13 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 40000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > FIRST OTTAWA BANCSHARES, INC </ issuerName >

< signatureName > Steven M. Gonzalo </ signatureName >

< nameOfSigner > Steven M. Gonzalo </ nameOfSigner >

< signatureTitle > President and Chief Executive Officer </ signatureTitle >

< signatureDate > 2022-05-24 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >