Form D Raw Data - Electronic Filing Depository

EFDID: 353429EFD: Raw Data

Issuer: Oconomowoc Bancshares, Inc. (0001656126) - D

Accession: 0001656126-20-000001 () (EDGAR Files) (Form D)

Edgar Posted: Oct. 29, 2020
EFD Posted: Oct. 29, 2020

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001656126 </ cik >

< entityName > Oconomowoc Bancshares, Inc. </ entityName >

- < issuerAddress >

< street1 > 155 W. WISCONSIN AVENUE </ street1 >

< city > OCONOMOWOC </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 262-569-9900 </ issuerPhoneNumber >

< jurisdictionOfInc > WISCONSIN </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Mark </ firstName >

< lastName > Mohr </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 258 E. Laurel Circle </ street1 >

< city > Delafield </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53018 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Nate </ firstName >

< lastName > Zastrow </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > N64 W37602 Woodcrest Drive </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Mark </ firstName >

< lastName > McCune </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2466 Lough Lane </ street1 >

< city > Hartford </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53027 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Larry </ firstName >

< lastName > Tomsyck </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Charles </ firstName >

< middleName > J. </ middleName >

< lastName > Folkman, Jr. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > W. </ middleName >

< lastName > Snyder </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > James </ firstName >

< middleName > P. </ middleName >

< lastName > Siepmann </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Maureen </ firstName >

< lastName > Stapleton </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Craig </ firstName >

< middleName > S. </ middleName >

< lastName > Schiefelbein </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

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< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Monica </ firstName >

< lastName > Stern </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

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< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Peter </ firstName >

< middleName > G. </ middleName >

< lastName > Roehl </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Pat </ firstName >

< lastName > Hammer </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 155 W. Wisconsin Avenue </ street1 >

< city > Oconomowoc </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53066 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Commercial Banking </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > $25,000,001 - $100,000,000 </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2020-10-16 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isDebtType > true </ isDebtType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > PNC Capital Markets LLC </ recipientName >

< recipientCRDNumber > 15647 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Fifth Avenue </ street1 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15222 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 20250000 </ totalOfferingAmount >

< totalAmountSold > 20250000 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 12 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 303750 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Oconomowoc Bancshares, Inc. </ issuerName >

< signatureName > Mark Mohr </ signatureName >

< nameOfSigner > Mark Mohr </ nameOfSigner >

< signatureTitle > President & CEO </ signatureTitle >

< signatureDate > 2020-10-29 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >