SEC Form 4 · accession 0001140361-16-089662
Bankwell Financial Group, Inc. · BWFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George P Bauer
Director
Period of report
Nov 14, 2016
Accepted (ET)
Dec 14, 2016 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001505732
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 14, 2016 | S | 696 | $26.75 | D | 184,339 | I | Held in Foundation |
| Common StockF2 | Nov 15, 2016 | S | 3,000 | $26.77 | D | 181,339 | I | Held in Foundation |
| Common Stock | Nov 16, 2016 | S | 1,300 | $26.85 | D | 180,039 | I | Held in Fooundation |
| Common Stock | Nov 17, 2016 | S | 2,000 | $26.85 | D | 178,039 | I | Held in Foundation |
| Common StockF3 | Nov 18, 2016 | S | 3,792 | $27.0807 | D | 174,247 | I | Held in Foundation |
| Common StockF4 | Nov 21, 2016 | S | 4,153 | $27.2654 | D | 170,094 | I | Held in Foundation |
| Common Stock | Nov 28, 2016 | S | 2,000 | $28.40 | D | 168,094 | I | Held in Foundation |
| Common StockF5 | Dec 9, 2016 | S | 7,294 | $30.3823 | D | 160,800 | I | Held in Foundation |
| Common StockF7,F6 | Nov 22, 2016 | S | 3,094 | $28.6354 | D | 284,552 | D | |
| Common StockF8 | Nov 23, 2016 | S | 6,784 | $28.7705 | D | 277,768 | D | |
| Common Stock | Nov 25, 2016 | S | 100 | $28.75 | D | 277,668 | D | |
| Common Stock | Nov 28, 2016 | S | 84 | $28.95 | D | 277,584 | D | |
| Common StockF9 | Nov 29, 2016 | S | 2,099 | $28.8883 | D | 275,485 | D | |
| Common StockF10 | Nov 30, 2016 | S | 2,667 | $29.175 | D | 272,818 | D | |
| Common StockF11 | Dec 1, 2016 | S | 2,009 | $29.2011 | D | 270,809 | D | |
| Common StockF12 | Dec 2, 2016 | S | 3,264 | $29.2429 | D | 267,545 | D | |
| Common Stock | Dec 5, 2016 | S | 2,005 | $29.40 | D | 265,540 | D | |
| Common StockF13 | Dec 6, 2016 | S | 4,772 | $29.4081 | D | 260,768 | D | |
| Common StockF14 | Dec 7, 2016 | S | 5,022 | $30.081 | D | 255,746 | D | |
| Common StockF15 | Dec 8, 2016 | S | 7,675 | $30.1763 | D | 248,071 | D | |
| Common StockF1 | holding | — | — | — | 200 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1800 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 today, 600 Shares have vested.
- F10Range of reported sale price is $29.15 - $29.25. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F11Range of reported sale price is $29.20 - $29.45. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F12Range of reported sale price is $29.20 - $29.50. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F13Range of reported sale price is $29.40 - $29.45. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F14Range of reported sale price is $29.90 - $30.42. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F15Range of reported sale price is $30.11 - $30.40. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F2Range of reported sale price is $26.75 - $26.80. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F3Range of reported sale price is $26.95 - $27.36. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F4Range of reported sale price is $27.25 - $27.30. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F5Range of reported sale price is $30.25 - $30.50. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F61,000 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 today, all Shares have vested.
- F7Range of reported sale price is $28.60 - $28.70. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F8Range of reported sale price is $28.70 - $28.80. Reporting person agrees to provide individual transaction information to the SEC upon request.
- F9Range of reported sale price is $28.80 - $29.06. Reporting person agrees to provide individual transaction information to the SEC upon request.