Filing Details
- Accession Number:
- 0000914190-12-000398
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-06-11 17:26:41
- Reporting Period:
- 2012-06-06
- Filing Date:
- 2012-06-11
- Accepted Time:
- 2012-06-11 17:26:41
- 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 | 47 East Chicago Avenue Suite 332 Naperville IL 60540 | 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 | 2012-06-06 | 29,353 | $0.29 | 810,191 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2012-06-07 | 50,647 | $0.29 | 860,838 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $1.77 | 2020-11-15 | 220,000 | 220,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $0.34 | 2022-05-04 | 580,838 | 580,838 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-11-15 | 220,000 | 220,000 | Direct |
| 2022-05-04 | 580,838 | 580,838 | Direct |
Footnotes
- The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.277 to $0.2875 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.
- Represents 135,000 of restricted stock units that vest in 45,000 share increments on each of 11/15/12, 11/15/13 and 11/15/14 and (ii) 580,838 of restricted stock units that vest in 145,209 share increments on each of 5/4/13 and 5/4/15 and in 145,210 share increments on 5/4/14 and 5/4/16.
- 55,000 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- 145,209 shares vest on each of 5/4/13 and 5/4/15 and 145,210 share increments on 5/4/14 and 5/4/16.
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