Filing Details
- Accession Number:
- 0000914190-12-000494
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-20 16:43:39
- Reporting Period:
- 2012-08-16
- Filing Date:
- 2012-08-20
- Accepted Time:
- 2012-08-20 16:43:39
- 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 | 2012-08-16 | 100,000 | $0.22 | 827,879 | 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 | 24,404 | 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 | |
| Common Stock | Stock Option (Right to Buy) | $0.34 | 2022-05-04 | 341,296 | 341,296 | 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 |
| 2022-05-04 | 341,296 | 341,296 | Direct |
Footnotes
- Includes (i) 6,250 shares of restricted stock units that vest on 7/29/13; (ii) 7,094 shares of restricted stock units that vest on 3/9/13 and 3/9/14; (iii) 88,205 shares of restricted stock units that vest 29,402 shares on 3/7/13, 29,401 shares on 3/7/14 and 29,402 shares on 3/7/15; and (iv) 341,296 shares of restricted stock units that vest 85,324 shares on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.
- Includes additional shares received based on a plan statement dated as of August 17, 2012.
- 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.
- 85,324 shares vest on 5/4/13, 5/4/14, 5/4/15 and 5/4/16.
Billionaire Hedge Funds
