Filing Details

Accession Number:
0000914190-13-000860
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-12 16:41:50
Reporting Period:
2013-12-11
Filing Date:
2013-12-12
Accepted Time:
2013-12-12 16:41:50
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
1232935 K Stephanie Kushner 3240 S. Central Avenue
Cicero IL 60804
Exec. Vp And Cfo 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 2013-12-11 300 $5.25 169,942 No 4 P Direct
Common Stock Acquisiton 2013-12-12 5,870 $5.76 175,812 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,901 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) $99.90 2019-07-29 2,500 2,500 Direct
Common Stock Stock Option (Right to Buy) $54.40 2020-03-09 5,323 5,323 Direct
Common Stock Stock Option (Right to Buy) $13.50 2021-03-07 14,910 14,910 Direct
Common Stock Stock Option (Right to Buy) $3.40 2022-05-04 34,129 34,129 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2019-07-29 2,500 2,500 Direct
2020-03-09 5,323 5,323 Direct
2021-03-07 14,910 14,910 Direct
2022-05-04 34,129 34,129 Direct
Footnotes
  1. Includes (i) 709 shares of restricted stock units that vest on 3/9/14; (ii) 5,880 shares of restricted stock units that vest 2,940 shares on each of 3/7/14 and 3/7/15; (iii) 25,597 shares of restricted stock units that vest 8,532 shares on each of 5/4/14 and 5/4/15 and 8,533 shares on 5/4/16; and (iv) 61,233 shares of restricted stock units that vest 20,411 shares on each of 2/21/14, 2/21/15 and 2/21/16.
  2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.61 to $5.76 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 purchased at each separate price within the range set forth in this footnote.
  3. Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated December 10, 2013.
  4. 625 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
  5. 1,330 shares vest on 3/9/11 and 1,331 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.
  6. 3,727 shares vest on each of 3/7/12 and 3/7/14 and 3,728 shares vest on each of 3/7/13 and 3/7/15.
  7. 8,532 shares vest on each of 5/4/13, 5/4/14 and 5/14/15 and 8,533 shares vest on 5/4/16.