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