SEC Form 5 · accession 0001140361-17-005111
Bankwell Financial Group, Inc. · BWFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond W Palumbo
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 8, 2017 · 3:40 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 | holding | — | — | — | 5,709 | D | ||
| Common Stock | holding | — | — | — | 2,275 | I | 1/4 Owner-Four Brothers Realty LLC | |
| Common StockF1 | holding | — | — | — | 3,443 | I | Deferred Compensation Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $17.86 | holding | — | — | — | Oct 1, 2014 | Jan 18, 2023 | Common Stock | 5,040 | 5,040 | D |
| WarrantsF2 | $17.86 | holding | — | — | — | Oct 1, 2014 | Mar 5, 2018 | Common Stock | 2,800 | 2,800 | D |
Explanation of responses
- F1This Form 5 is being filed to update the total amount of Deferred Compensation held as of 12/31/16.
- F2Fully vested.