Filing Details
- Accession Number:
- 0000914190-14-000193
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-05 17:43:45
- Reporting Period:
- 2014-05-01
- Filing Date:
- 2014-05-05
- Accepted Time:
- 2014-05-05 16:43:45
- 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 | 2014-05-01 | 1,000 | $13.20 | 24,232 | 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 | 3,863 | 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
- Includes (i) 875 shares of restricted stock units that vest 437 shares on 5/5/14 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; (iii) 3,462 shares of restricted stock units that vest in 1,154 shares increments on each of 2/20/15, 2/20/16 and 2/20/17; and (iv) 6,271 shares of restricted stock units that vest 3,135 shares on 2/21/15 and 3,136 shares on 2/21/16.
- Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated April 29, 2014.
- 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.
- 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.
Billionaire Hedge Funds
