SEC Form 4/A · accession 0001179110-18-012467
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
James S. Johnson
Director
Period of report
Mar 16, 2018
Accepted (ET)
Nov 2, 2018 · 11:49 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 | — | — | — | 158,500 | I | By Trust | |
| Common StockF1 | holding | — | — | — | 50,416 | I | By IRA | |
| Common StockF1 | holding | — | — | — | 10,417 | I | By Spouse IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 19, 2018, the reporting person filed a Form 4 which inadvertently reported that the reporting person beneficially owned 219,333 shares of common stock indirectly by Trust. In fact, as reported in this Amendment, on March 19, 2018 the reporting person beneficially owned 219,333 shares of common stock indirectly (158,500 held by Trust, 50,416 held in the reporting person's IRA and 10,417 held in the IRA of the spouse of the reporting person).
- F2Shares of common stock are held by Mr. Johnson as co-trustee of the James S. Johnson Trust, dated May 28, 2015 and as co-trustee of the Jolynn Johnson Trust dated May 28, 2015. Mr. Johnson possesses shared voting and investment power with respect to the shares of common stock held under the James S. Johnson Trust, dated May 28, 2015 and the Jolynn Johnson Trust dated May 28, 2015