Filing Details

Accession Number:
0000914190-11-000447
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-08-09 13:00:00
Reporting Period:
2011-08-08
Filing Date:
2011-08-09
Accepted Time:
2011-08-09 17:10:51
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 47 East Chicago Avenue
Suite 332
Naperville IL 60540
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 2011-08-08 50,000 $0.90 239,143 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 8,110 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) $9.99 2019-07-29 25,000 25,000 Direct
Common Stock Stock Option (Right to Buy) $5.44 2020-03-09 53,233 53,233 Direct
Common Stock Stock Option (Right to Buy) $1.35 2021-03-07 149,107 149,107 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2019-07-29 25,000 25,000 Direct
2020-03-09 53,233 53,233 Direct
2021-03-07 149,107 149,107 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $.8902 to $.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 ranges set forth in this footnote.
  2. Includes (i) 12,500 shares of restricted stock units that vest in 6,250 share increments on each of 7/29/12 and 7/29/13; (ii) 7,095 shares of restricted stock units that vest on 3/9/12 and in 7,094 share increments on 3/9/13 and 3/9/14; and (iii) 117,606 shares of restricted stock units that vest 29,401 shares on 3/7/12, 29,402 shares on 3/7/13, 29,401 shares on 3/7/14 and 29,402 shares on 3/7/15.
  3. 6,250 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
  4. 13,309 shares vest on 3/9/11 and 13,308 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.
  5. 37,276 shares vest on 3/7/12 and 37,277 shares vest on 3/7/13, 3/7/14 and 3/7/15.