Filing Details
- Accession Number:
- 0000914190-14-000423
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-03 16:42:26
- Reporting Period:
- 2014-10-31
- Filing Date:
- 2014-11-03
- Accepted Time:
- 2014-11-03 16:42:26
- 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 |
|---|---|---|---|---|---|---|---|
| 1505863 | C. Peter Duprey | 3240 S. Central Avenue Cicero IL 60804 | President And Ceo | Yes | 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 | 2014-10-31 | 10,000 | $6.57 | 273,204 | 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 | 5,520 | 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) | $17.70 | 2020-11-15 | 22,000 | 22,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $3.40 | 2022-05-04 | 58,083 | 58,083 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-11-15 | 22,000 | 22,000 | Direct |
| 2022-05-04 | 58,083 | 58,083 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.51 to $6.609 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.
- Includes (i) 4,500 restricted stock units that vest on 11/15/14; (ii) 43,563 restricted stock units that vest in 29,042 share increments on each of 5/4/15 and 5/4/16; and (iii) 65,000 restricted stock units that vest in 32,500 share increments on each of 2/21/15 and 2/21/16.
- Reflects the number of shares currently held in the reporting person's 401(k) plan account based on a plan statement dated November 3, 2014.
- 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- 14,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.
Billionaire Hedge Funds
