Filing Details
- Accession Number:
- 0000914190-11-000570
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-18 16:29:48
- Reporting Period:
- 2011-11-16
- Filing Date:
- 2011-11-18
- Accepted Time:
- 2011-11-18 16:29:48
- 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 | 2011-11-16 | 60,450 | $0.40 | 299,593 | 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
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $.38 to $.42, 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 ranges set forth in this footnote.
- 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.
- 6,250 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
- 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.
- 37,276 shares vest on 3/7/12 and 37,277 shares vest on 3/7/13, 3/7/14 and 3/7/15.
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