0001140361-15-043888.txt : 20151208 0001140361-15-043888.hdr.sgml : 20151208 20151208131319 ACCESSION NUMBER: 0001140361-15-043888 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151204 FILED AS OF DATE: 20151208 DATE AS OF CHANGE: 20151208 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: Fieber James A CENTRAL INDEX KEY: 0001607405 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36448 FILM NUMBER: 151274688 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 2015-12-04 0 0001505732 Bankwell Financial Group, Inc. BWFG 0001607405 Fieber James A C/O BANKWELL FINANCIAL GROUP, INC. 220 ELM STREET NEW CANAAN CT 06840 1 0 0 0 Common Stock 1400 D Common Stock 500 D Common Stock 13506 I Deferred Compensation Plan Common Stock 3711 I Deferred Compensation Plan Common Stock 66000 D Common Stock 2015-12-04 4 M 0 21258 14.00 A 21258 D Common Stock 4208 I Joint with Wife Common Stock 2015-12-04 4 M 0 1355 14.00 A 1355 I Joint with Wife Common Stock 254832 I Held as Trustee Common Stock 10406 I Held as Trustee Common Stock 2015-12-04 4 M 0 3348 14.00 A 3348 I Held as Trustee Common Stock 122071 D Stock Options 17.50 2006-12-13 2016-12-13 Common Stock 3850 3850 D Stock Options 20.70 2007-12-12 2017-12-12 Common Stock 2875 2875 D Warrants 14.00 2015-10-05 2015-12-05 Common Stock 1195 1195 I Deferred Compensation Plan Warrants 14.00 2015-12-04 4 M 0 21258 14.00 D 2015-10-05 2015-12-05 Common Stock 21258 0 D Warrants 14.00 2015-12-04 4 M 0 1355 14.00 D 2015-10-05 2015-12-05 Common Stock 1355 0 I Joint with Wife Warrants 14.00 2015-12-04 4 M 0 3348 14.00 D 2015-10-05 2015-12-05 Common Stock 3348 0 I Held as Trustee 2,800 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. As of the Transaction Date, 1,400 Shares have vested. 1,500 shares of restricted stock granted pursuant to the 2012 Bankwell Financial Group, Inc. Stock Plan. The shares vest in three substantially equal installments - the first immediately on December 15, 2014 and then on each of December 3, 2015 and December 3, 2016. As of the Transaction Date, 1,000 Shares have vested. All 3,711 Shares are Units. Each Unit consists 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. All 66,000 Shares were Units, upon exercise of the Warrants on December 4 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. All 4,208 Shares were Units, upon exercise of the Warrants on December 4 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. All 10,406 Shares were Units, upon exercise of the Warrants on December 4 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 2006 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. /s/ James A. Fieber by POA 2015-12-08