SEC Form 4 · accession 0001179110-18-004554
Bridgewater Bancshares Inc · BWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry J. Baack
Officer — President & CEO · Director
Period of report
Oct 1, 2017
Accepted (ET)
Mar 19, 2018 · 11:41 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001341317
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 16, 2018 | P | 7,000 | $11.75 | A | 1,029,704 | D | |
| Common Stock | Mar 16, 2018 | P | 1,000 | $11.75 | A | 1,030,704 | I | As custodian for child |
| Common Stock | Mar 16, 2018 | P | 1,000 | $11.75 | A | 1,031,704 | I | As custodian for child |
| Common Stock | Mar 16, 2018 | P | 1,000 | $11.75 | A | 1,032,704 | I | As custodian for child |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to buyF1,F2 | $7.47 | Oct 1, 2017 | A | 150,000 | A | — | Sep 30, 2027 | Common Stock | 150,000 | 300,000 | D |
Explanation of responses
- F1Option to buy granted under the 2017 Combined Incentive and Non-Statutory Stock Option Plan.
- F2Options exercisable in 20% increments on the first five anniversaries of the date of the grant which was 10/1/2017.