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