Filing Details
- Accession Number:
- 0000914190-15-000207
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-06 17:27:21
- Reporting Period:
- 2015-05-04
- Filing Date:
- 2015-05-06
- Accepted Time:
- 2015-05-06 17:27:21
- 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 | Disposition | 2015-05-04 | 4,517 | $3.98 | 311,175 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2015-05-06 | 10,000 | $3.90 | 321,175 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| 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 reporting person has elected to satisfy his tax withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant.
- Includes (i) 14,521 restricted stock units that vest on 5/14/16; (ii) 32,500 restricted stock units that vest on 2/21/16; (iii) 23,927 restricted stock units that vest 11,963 shares on 2/20/16 and 11,964 shares on 2/20/17; and (iv) 56,651 restricted stock units that vest in increments of 18,884 shares on each of 2/19/16 and 2/19/18 and 18,883 shares on 2/19/17.
- 5,500 shares vested on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- 14,520 shares vested on 5/4/13, 14,521 shares vested on each of 5/4/14 and 5/4/15, and 14,521 shares vest on 5/4/16.
Billionaire Hedge Funds
