Filing Details

Accession Number:
0000914190-13-000827
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-13 17:05:58
Reporting Period:
2013-11-11
Filing Date:
2013-11-13
Accepted Time:
2013-11-13 17:05:58
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
1210278 R Robert Rogowski 3240 S. Central Avenue
Cicero IL 60804
Principal Accounting Officer 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 Disposition 2013-11-11 2,000 $7.47 25,951 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,680 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) $15.00 2021-05-05 1,750 1,750 Direct
Common Stock Stock Option (Right to Buy) $3.39 2022-05-04 5,647 5,647 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-05-05 1,750 1,750 Direct
2022-05-04 5,647 5,647 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 $7.46 to $7.51inclusive. 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. Includes (i) 875 shares of restricted stock units that vest 437 shares on 5/4/14 and 438 shares on 5/5/15; (ii) 4,236 shares of restricted stock units that vest in 1,412 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (iii) 9,406 shares of restricted stock units that vest in 3,135 share increments on each of 2/21/14 and 2/21/15 and 3,136 shares on 2/21/16.
  3. Between May 2 and November 11, 2013, the reporting person acquired additional shares of Broadwind Energy, Inc. common stock under his 401(k) plan. The information in this report is based on a plan statement dated as of November 11, 2013.
  4. 437 shares vest on each of 5/5/12 and 5/5/14 and 438 shares vest on each of 5/5/13 and 5/5/15.
  5. 1,411 shares vest on 5/4/13 and 1,412 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.