Filing Details

Accession Number:
0000914190-13-000813
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-06 17:03:23
Reporting Period:
2013-11-04
Filing Date:
2013-11-06
Accepted Time:
2013-11-06 17:03:23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1120370 Broadwind Energy Inc. BWEN Nonferrous Foundries (Castings) (3360) 880409160
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1466906 Jr. E. Jesse Collins 3240 S. Central Avenue
Cicero IL 60804
Executive Vp And Coo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-04 5,400 $3.40 79,634 No 4 M Direct
Common Stock Disposition 2013-11-04 5,400 $7.03 74,234 No 4 S Direct
Common Stock Disposition 2013-11-04 25,000 $7.68 49,234 No 4 S Direct
Common Stock Disposition 2013-11-05 15,000 $7.38 34,234 No 4 S Direct
Common Stock Disposition 2013-11-06 15,890 $7.46 18,344 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2013-11-04 5,400 $0.00 5,400 $3.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
16,203 2022-05-04 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,915 Indirect By 401(k) Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $178.00 2018-08-08 7,500 7,500 Direct
Common Stock Stock Option (Right to Buy) $77.80 2019-04-29 2,394 2,394 Direct
Common Stock Stock Option (Right to Buy) $54.40 2020-03-09 3,081 3,081 Direct
Common Stock Stock Option (Right to Buy) $13.50 2021-03-07 9,375 9,375 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-08-08 7,500 7,500 Direct
2019-04-29 2,394 2,394 Direct
2020-03-09 3,081 3,081 Direct
2021-03-07 9,375 9,375 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.50 to $7.90 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.29 to $7.51 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.35 to $7.57 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated October 24, 2013.
  5. 100% vested.
  6. 2,343 shares vest on 3/7/12 and 2,344 shares vest on 3/7/13, 3/7/14 and 3/7/15.
  7. 5,400 shares vest on 5/4/13 and 5,401 shares vest on 5/4/14, 5/4/15 and 5/4/16.
  8. 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.