Filing Details
- Accession Number:
- 0001104659-19-047101
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-08-23 14:04:03
- Reporting Period:
- 2019-08-22
- Accepted Time:
- 2019-08-23 14:04:03
- 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 | 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 | 2019-08-22 | 10,000 | $1.80 | 492,190 | 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 | 15,850 | 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) | $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 |
|---|---|---|---|
| 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
- Includes (i) 13,794 restricted stock units that vest on 2/21/20; (ii) 41,800 restricted stock units that vest 20,900 shares on each of 2/20/20 and 2/20/21; and (iii) 96,401 restricted stock units that vest 32,133 shares on 4/23/20, and 32,134 shares on each of 4/23/21 and 4/23/22.
- 1,330 shares vested on 3/9/11 and 1,331 shares vested on each of 3/9/12, 3/9/13 and 3/9/14.
- 3,727 shares vested on each of 3/7/12 and 3/7/14 and 3,728 shares vested on each of 3/7/13 and 3/7/15.
- 8,532 shares vested on each of 5/4/13, 5/4/14 and 5/4/15 and 8,533 shares vested on 5/4/16.
Billionaire Hedge Funds
