0001179110-18-013502.txt : 20181206 0001179110-18-013502.hdr.sgml : 20181206 20181206125040 ACCESSION NUMBER: 0001179110-18-013502 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181205 FILED AS OF DATE: 20181206 DATE AS OF CHANGE: 20181206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baack Jerry J. CENTRAL INDEX KEY: 0001733126 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38412 FILM NUMBER: 181219886 MAIL ADDRESS: STREET 1: 3800 AMERICAN BOULEVARD WEST STREET 2: SUITE 100 CITY: BLOOMINGTON STATE: MN ZIP: 55431 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bridgewater Bancshares Inc CENTRAL INDEX KEY: 0001341317 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 000000000 STATE OF INCORPORATION: MN BUSINESS ADDRESS: STREET 1: 3800 AMERICAN BOULEVARD WEST STREET 2: SUITE 100 CITY: BLOOMINGTON STATE: MN ZIP: 55431 BUSINESS PHONE: (952) 893-6866 MAIL ADDRESS: STREET 1: 3800 AMERICAN BOULEVARD WEST STREET 2: SUITE 100 CITY: BLOOMINGTON STATE: MN ZIP: 55431 4 1 edgar.xml FORM 4 - X0306 4 2018-12-05 0 0001341317 Bridgewater Bancshares Inc BWB 0001733126 Baack Jerry J. C/O BRIDGEWATER BANCSHARES, INC. 3800 AMERICAN BLVD WEST, SUITE 100 BLOOMINGTON MN 55431 1 1 0 0 President & CEO Common Stock 2018-12-05 4 M 0 25000 3.00 A 790504 D Common Stock 4000 I By Roth IRA Common Stock 260000 I By IRA Common Stock 4200 I By dependent child Common Stock 1000 I As custodian for child Common Stock 1000 I As custodian for child Common Stock 1000 I As custodian for child Option to buy 3.00 2018-12-05 4 M 0 25000 0 D 2023-12-31 Common Stock 25000 125000 D Option to buy 7.47 2027-09-30 Common Stock 150000 150000 D Options to buy granted under the 2012 Combined Incentive and Non-Statutory Stock Option Plan. Options exercisable in 20% increments on the first five anniversaries of the date of the grant which was 1/1/2014. Options to buy granted under the 2017 Combined Incentive and Non-Statutory Stock Option Plan. Options exercisable in 20% increments on the first five anniversaries of the date of the grant which was 10/1/2017. On March 19, 2018, the reporting person filed a Form 4 which inadvertently reported that the reporting person beneficially owned 300,000 derivative securities at an exercise price of $7.47 granted under the 2017 Combined Incentive and Non-Statutory Stock Option Plan (which amount was the aggregate of all derivative securities beneficially owned by the reporting person following such reported transaction). In fact, on March 19, 2018 the reporting person beneficially owned 150,000 derivative securities at an exercise price of $7.47 granted under the 2017 Combined Incentive and Non-Statutory Stock Option Plan and beneficially owned 150,000 derivative securities at an exercise price of $3.00 granted under the 2012 Combined Incentive and Non-Statutory Stock Option Plan. /s/ Ben Klocke, attorney-in-fact 2018-12-06