SEC Form 4/A · accession 0001179110-18-012464
Bridgewater Bancshares Inc · BWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jerry J. Baack
Officer — President & CEO · Director
Period of report
Jul 31, 2018
Accepted (ET)
Nov 2, 2018 · 11:46 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 StockF1,F2 | holding | — | — | — | 765,504 | D | ||
| Common StockF1,F2 | holding | — | — | — | 4,000 | I | By Roth IRA | |
| Common StockF1,F2 | holding | — | — | — | 260,000 | I | By IRA | |
| Common StockF1,F2 | holding | — | — | — | 4,200 | I | By dependent child | |
| Common StockF1,F2 | holding | — | — | — | 1,000 | I | As custodian for child | |
| Common StockF1,F2 | holding | — | — | — | 1,000 | I | As custodian for child | |
| Common StockF1,F2 | holding | — | — | — | 1,000 | I | As custodian for child |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 31, 2018, the reporting person filed a Form 4 which inadvertently reported that the reporting person beneficially owned 1,036,704 shares of common stock indirectly. In fact, as reported in this Amendment, on July 31, 2018 the reporting person beneficially owned 765,504 shares of common stock directly and beneficially owned a total of 271,200 shares of common stock indirectly (4,000 held in the reporting person's Roth IRA, 260,000 held in the reporting person's IRA, 4,200 held by reporting person's dependent child, 1,000 held by reporting person as custodian for child, 1,000 held by reporting person as custodian for child, and another 1,000 held by reporting person as custodian for child). This Amendment is also intended to correct the previous Form 4 filings filed by the reporting person on May 3, 2018 and on March 19,2018.
- F2On March 19, 2018, the reporting person beneficially owned 765,504 shares of common stock directly and beneficially owned a total of 267,200 shares of common stock indirectly (260,000 held in the reporting person's IRA, 4,200 held by the reporting person's dependent child, 1,000 held by reporting person as custodian for child, 1,000 held by reporting person as custodian for child, and another 1,000 held by reporting person as custodian for child). On May 3, 2018, the reporting person beneficially owned 765,504 shares of common stock directly and beneficially owned a total of 269,200 shares of common stock indirectly (260,000 held in the reporting person's IRA, 2,000 held in the reporting person's Roth IRA, 4,200 held by the reporting person's dependent child, 1,000 held by reporting person as custodian for child, 1,000 held by reporting person as custodian for child, and another 1,000 held by reporting person as custodian for child).