Filing Details
- Accession Number:
- 0001044321-13-000133
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-27 16:11:23
- Reporting Period:
- 2013-09-25
- Filing Date:
- 2013-09-27
- Accepted Time:
- 2013-09-27 16:11:23
- 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 |
---|---|---|---|---|---|---|---|
1044321 | M David Greenhouse & W Austin Marxe | C/O Special Situations Funds 527 Madison Avenue, Suite 2600 New York NY 10022 | No | No | Yes | 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 | 2013-09-25 | 1,000 | $7.75 | 2,659,294 | No | 4 | S | Indirect | By Limited Partnerships |
Common Stock | Disposition | 2013-09-26 | 18,827 | $8.06 | 2,640,467 | No | 4 | S | Indirect | By Limited Partnerships |
Common Stock | Disposition | 2013-09-26 | 3,294 | $7.99 | 2,637,173 | No | 4 | S | Indirect | By Limited Partnerships |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By Limited Partnerships |
No | 4 | S | Indirect | By Limited Partnerships |
No | 4 | S | Indirect | By Limited Partnerships |
Footnotes
- This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (Tech 2). 1,387,703 shares of Common Stock are held by QP, 462,536 shares of Common Stock are held by Cayman, 110,138 shares of Common Stock are held by Tech and 676,796 shares of Common Stock are held by Tech 2. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, Cayman, Tech and Tech 2 is limited to the extent of his pecuniary interest.
- This is a weighted average price.