Filing Details

Accession Number:
0001140361-15-024903
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-06-19 13:23:13
Reporting Period:
2015-06-17
Filing Date:
2015-06-19
Accepted Time:
2015-06-19 13:23:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1505732 Bankwell Financial Group Inc. BWFG State Commercial Banks (6022) 208251355
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1607405 A James Fieber C/O Bankwell Financial Group, Inc.
220 Elm Street
New Canaan CT 06840
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-06-17 1,000 $17.96 1,000 No 4 P Direct
Common Stock Acquisiton 2015-06-18 535 $17.92 535 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,800 Direct
Common Stock 1,500 Direct
Common Stock 13,506 Indirect Deferred Compensation Plan
Common Stock 3,711 Indirect Deferred Compensation Plan
Common Stock 66,000 Direct
Common Stock 4,208 Indirect Joint with Wife
Common Stock 254,832 Indirect Held as Trustee
Common Stock 10,406 Indirect Held as Trustee
Common Stock 117,116 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Options $15.50 2005-12-22 2015-12-22 1,020 1,020 Direct
Common Stock Stock Options $17.50 2006-12-13 2016-12-13 3,850 3,850 Direct
Common Stock Stock Options $20.70 2007-12-12 2017-12-12 2,875 2,875 Direct
Common Stock Warrants $14.00 2015-10-01 2015-12-01 27,161 27,161 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-12-22 1,020 1,020 Direct
2016-12-13 3,850 3,850 Direct
2017-12-12 2,875 2,875 Direct
2015-12-01 27,161 27,161 Direct
Footnotes
  1. 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.
  2. 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.
  3. 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 1, 2015 through December 1, 2015. The associated Common Stock is disclosed in Table I, and the associated Warrants in Table II.
  4. All 66,000 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 1, 2015 through December 1, 2015. The associated Common Stock is disclosed in Table I, and the associated Warrants in Table II.
  5. All 4,208 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 1, 2015 through December 1, 2015. The associated Common Stock is disclosed in Table I, and the associated Warrants in Table II.
  6. All 10,406 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 1, 2015 through December 1, 2015. The associated Common Stock is disclosed in Table I, and the associated Warrants in Table II.
  7. Stock Options granted pursuant to the 2002 Bank Management, Director and Founder Stock Option Plan, all of which are fully vested.
  8. Stock Options granted pursuant to the 2006 Stock Option Plan, all of which are fully vested.
  9. Stock Options granted pursuant to the 2007 Bank of New Canaan Stock Option Equity Award Plan, all of which are fully vested.