Volk David J.

SEC source: 0001733127-26-000015 · form4-09302026_090939.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,212

SEC source: 0001733127-26-000013 · form4-07012026_080700.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,243

SEC source: 0001733127-26-000011 · primarydocument.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,391

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on June 1, 2027.

SEC source: 0001733127-26-000009 · form4-03312026_090319.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,284

SEC source: 0001733127-26-000005 · primarydocument.xml · nonDerivative · entry 2

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,195

SEC source: 0001733127-26-000005 · primarydocument.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP

Disclosed balance after: 3,729

F1 · shares: These securities were held by Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · balance_after: These unvested restricted stock units were assigned to Castle Creek Advisors IV LLC, on behalf of David Volk in his capacity as a member of the Board of Directors of California BanCorp, Inc. and will become fully vested on May 21, 2026.

SEC source: 0001733127-26-000007 · primarydocument.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP

Disclosed balance after: 0

F1 · shares: The reporting person is a managing principal of Castle Creek Capital VI LLC, the sole general partner of Castle Creek Capital Partners VI, LP ("Fund VI"). As of January 28, 2026, Fund VI no longer owns any shares of the Issuer's common stock (the "Fund VI Shares"), although Fund VI's prior ownership of 2,346,104 Fund VI Shares was reported in the Form 4 filed for the reporting person on February 5, 2026 (the "February 5 Form 4"). However, during the period that Fund VI owned such Fund VI Shares, the reporting person was not the beneficial owner of the Fund VI Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose and expressly disclaims such beneficial ownership. This amendment is therefore being filed to remove the 2,346,104 Fund VI Shares and to remove the 3,725 shares that belong to Castle Creek Advisor IV LLC that were previously reported in Table I in the February 5 Form 4.

F1 · balance_after: The reporting person is a managing principal of Castle Creek Capital VI LLC, the sole general partner of Castle Creek Capital Partners VI, LP ("Fund VI"). As of January 28, 2026, Fund VI no longer owns any shares of the Issuer's common stock (the "Fund VI Shares"), although Fund VI's prior ownership of 2,346,104 Fund VI Shares was reported in the Form 4 filed for the reporting person on February 5, 2026 (the "February 5 Form 4"). However, during the period that Fund VI owned such Fund VI Shares, the reporting person was not the beneficial owner of the Fund VI Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose and expressly disclaims such beneficial ownership. This amendment is therefore being filed to remove the 2,346,104 Fund VI Shares and to remove the 3,725 shares that belong to Castle Creek Advisor IV LLC that were previously reported in Table I in the February 5 Form 4.

SEC source: 0001733127-26-000002 · form4-01022026_100118.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,138

SEC source: 0001733127-25-000005 · form4-10282025_101024.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,582

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.4350 to $17.5000, inclusive. The reporting person undertakes to provide to Bridgewater Bancshares, Inc., any security holder of Bridgewater Bancshares, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price set forth in this footnote to this Form 4.

SEC source: 0001733127-25-000005 · form4-10282025_101024.xml · nonDerivative · entry 2

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,112

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.1300 to $17.6400, inclusive. The reporting person undertakes to provide to Bridgewater Bancshares, Inc., any security holder of Bridgewater Bancshares, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price set forth in this footnote to this Form 4.

SEC source: 0001733127-25-000003 · form4-10012025_081043.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 582

SEC source: 0001562180-25-004168 · primarydocument.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP

Disclosed balance after: 2,349,833

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of California BanCorp, Inc. (Common Stock), were assigned to Castle Creek Advisors IV LLC (Advisors IV), on behalf of David Volk in his capacity as a member of the Board of Directors of California BanCorp, Inc. and will become fully vested on May 21, 2026.

F2 · balance_after: Includes 6,875 shares of unvested RSUs held by Advisors IV and 2,340,719 shares of Common Stock held by Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Advisors IV and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001562180-24-006168 · primarydocument.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · see footnote 3

Disclosed balance after: 2,346,104

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of California BanCorp, Inc. (Common Stock), were issued to Castle Creek Advisors IV LLC (Advisors IV), on behalf of David Volk in his capacity as a member of the Board of Directors of California BanCorp, Inc. and will become fully vested on May 30, 2025.

F2 · balance_after: This amount has been reduced by 3,097 shares to reflect the pro-rata, in-kind distributions of shares of Common Stock effected by Advisors IV to its members, for no additional consideration.

F3 · balance_after: Includes 5,385 shares of unvested RSUs held by Advisors IV and 2,340,719 shares of Common Stock held by Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Advisors IV and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001562180-24-001076 · primarydocument.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP

Disclosed balance after: 2,348,588

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of Southern California Bancorp, Inc. (Common Stock), were issued to Castle Creek Advisors IV LLC (Advisors IV), on behalf of David Volk in his capacity as a member of the Board of Directors of Southern California Bancorp, Inc., on February 1, 2024 and will become fully vested on January 4, 2025.

F2 · balance_after: Includes 3,097 shares of Common Stock and 2,239 RSUs held by Advisors IV and 2,340,719 shares of Common Stock held by Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Advisors IV and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-038986 · ownership.xml · nonDerivative · entry 2

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · see footnote 3

Disclosed balance after: 2,343,816

F2 · kind: 3,360 shares of Common Stock were distributed by Advisors IV to its members on October 31, 2023.

F3 · balance_after: Includes 2,553 shares of Common Stock and 544 RSUs held by Advisors IV and 2,340,719 shares of Common Stock held by Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Advisors IV and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-038986 · ownership.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 628

F1 · kind: 367 shares of Common Stock were distributed by Castle Creek Capital Partners IV LP ("Advisors IV") to Mr. Volk, a managing principal of Castle Creek, on October 31, 2023.

SEC source: 0001493152-23-037257 · ownership.xml · nonDerivative · entry 2

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · see footnote 2

Disclosed balance after: 2,347,176

F2 · balance_after: Includes 5,913 shares of Common Stock and 544 RSUs held by Advisors IV and 2,340,719 shares of Common Stock held by Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Advisors IV and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-037257 · ownership.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 261

F1 · kind: 2,178 restricted stock units ("RSUs"), each of which represents the right to receive one share of common stock of Southern California Bancorp ("Common Stock"), were issued to David Volk in his capacity as a member of the Board of Directors of Southern California Bancorp on January 18, 2023 and will become fully vested on January 03, 2024. 726 RSUs vested on July 3, 2023, all of which were transferred to Castle Creek Advisors IV ("Advisors IV") on October 12, 2023 and October 13, 2023.

SEC source: 0001493152-23-036481 · ownership.xml · nonDerivative · entry 2

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · see footnote 3

Disclosed balance after: 2,346,450

F3 · balance_after: -Includes 5,187 shares of Common Stock and 544 RSUs held by Advisors IV (inclusive of the assignment noted in footnote 2) and 2,340,719 shares of Common Stock held by Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Advisors IV and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-036481 · ownership.xml · nonDerivative · entry 1

Volk David J. · CIK 0001733127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 987

F1 · kind: 61 shares of Common Stock were distributed by Castle Creek Advisors IV LLC ("Advisors IV") to Mr. Volk, a managing principal of Castle Creek, on June 25, 2023.

F2 · balance_after: 2,178 restricted stock units ("RSUs"), each of which represents the right to receive one share of common stock of Southern California Bancorp ("Common Stock"), were issued to David Volk in his capacity as a member of the Board of Directors of Southern California Bancorp on January 18, 2023 and will become fully vested on January 03, 2024. 182 RSUs vested on October 3, 2023. David Volk assigned such vested shares and the remaining 544 unvested RSUs to Advisors IV.