0001140361-15-041584.txt : 20151116
0001140361-15-041584.hdr.sgml : 20151116
20151116145410
ACCESSION NUMBER: 0001140361-15-041584
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151113
FILED AS OF DATE: 20151116
DATE AS OF CHANGE: 20151116
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Bankwell Financial Group, Inc.
CENTRAL INDEX KEY: 0001505732
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 208251355
STATE OF INCORPORATION: CT
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 208 ELM STREET
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
BUSINESS PHONE: (203) 972-3838
MAIL ADDRESS:
STREET 1: 208 ELM STREET
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
FORMER COMPANY:
FORMER CONFORMED NAME: BNC Financial Group, Inc.
DATE OF NAME CHANGE: 20101115
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DeWyngaert Heidi
CENTRAL INDEX KEY: 0001607544
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36448
FILM NUMBER: 151233634
MAIL ADDRESS:
STREET 1: C/O BANKWELL FINANCIAL GROUP, INC.
STREET 2: 220 ELM STREET
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
4
1
doc1.xml
FORM 4
X0306
4
2015-11-13
0
0001505732
Bankwell Financial Group, Inc.
BWFG
0001607544
DeWyngaert Heidi
C/O BANKWELL FINANCIAL GROUP, INC.
220 ELM STREET
NEW CANAAN
CT
06840
0
1
0
0
EVP & CLO
Common Stock
1000
D
Common Stock
2200
D
Common Stock
2000
D
Common Stock
3250
D
Common Stock
6300
D
Common Stock
11700
D
Common Stock
27050
I
Joint with Husband
Common Stock
4150
I
Joint with Husband
Common Stock
2015-11-13
4
M
0
1336
14.00
A
1336
I
Joint with Husband
Stock Optons
16.00
2009-03-29
2016-03-29
Common Stock
2000
2000
D
Stock Options
20.70
2011-01-02
2018-01-02
Common Stock
4000
4000
D
Stock Options
20.70
2015-03-26
2018-03-26
Common Stock
12000
12000
D
Stock Options
12.64
2014-06-23
2019-06-23
Common Stock
1500
1500
D
Warrants
14.00
2015-11-13
4
M
0
1336
14.00
D
2015-10-05
2015-12-05
Common Stock
1336
0
I
Joint with Husband
5,000 shares of restricted stock granted pursuant to the 2007 Bank of New Canaan Stock Option Equity Award Plan and will vest in five equal annual installments of 20%, the first installment of 1,000 shares vested on March 22, 2012 and an additional 20% to vest on each annual anniversary of the grant date thereafter. 4,000 Shares have fully vested.
5,500 shares of restricted stock granted pursuant to the 2007 Bank of New Canaan Stock Option Equity Award Plan and will vest in five equal annual installments of 20%, the first installment of 1,100 shares vested on March 21, 2013 and an additional 20% to vest on each annual anniversary of the grant date thereafter. 3,300 Shares have fully vested.
5,000 shares of restricted stock granted pursuant to the 2012 BNC Financial Group, Inc. Stock Plan and will vest in five equal annual installments of 20%, with the first installment of 1,000 shares vested on March 17, 2013 and an additional 20% to vest on each annual anniversary of the grant date thereafter. 3,000 Shares have fully vested.
6,500 shares of restricted stock granted pursuant to the 2012 BNC Financial Group, Inc. Stock Plan and will vest in four equal annual installments of 25%, with the first installment to vest on November 5, 2014 and an additional 25% to vest on each annual anniversary of the grant date thereafter. 3,250 Shares have fully vested.
18,000 shares of Bankwell Financial Group, Inc. stock granted pursuant to the 2012 Bankwell Financial Group, Inc. Stock Plan. 6,300 of those shares are restricted stock that will vest in five equal annual installments of 20%, with the first installment to vest on December 1, 2015 and an additional 20% to vest on each annual anniversary of the vesting date thereafter. 11,700 of those shares are performance restricted stock and may vest when and if the performance goals are achieved, but in any event no earlier than December 1, 2017 and no later than December 1, 2019.
All 4,150 Shares were Units, upon exercise of the Warrants on November 13, 2015, the Units became Common Stock. Each Unit consisted of one share of Common Stock and an attached Warrant which gives the Reporting Person the right to purchase .3221 shares of the Company's Common Stock at $14.00 per share once exercised. The exercise period for the Warrants is currently set for October 5, 2015 through December 5, 2015. The associated Common Stock is disclosed in Table I, and the associated Warrants in Table II.
Stock Options granted pursuant to the 2002 Bank Management, Director and Founder Stock Option Plan, all of which are fully vested.
Stock Options granted pursuant to the 2007 Bank of New Canaan Stock Option Equity Award Plan, all of which are fully vested.
Stock Options granted pursuant to the 2007 Bank of New Canaan Stock Option Equity Award Plan, all of which are fully vested.
/s/ Heidi DeWyngaert by POA
2015-11-16