Filing Details
- Accession Number:
- 0000914190-13-000813
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-06 17:03:23
- Reporting Period:
- 2013-11-04
- Filing Date:
- 2013-11-06
- Accepted Time:
- 2013-11-06 17:03:23
- 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 |
|---|---|---|---|---|---|---|---|
| 1466906 | Jr. E. Jesse Collins | 3240 S. Central Avenue Cicero IL 60804 | Executive Vp And Coo | 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 | 2013-11-04 | 5,400 | $3.40 | 79,634 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-04 | 5,400 | $7.03 | 74,234 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-11-04 | 25,000 | $7.68 | 49,234 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-11-05 | 15,000 | $7.38 | 34,234 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-11-06 | 15,890 | $7.46 | 18,344 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-11-04 | 5,400 | $0.00 | 5,400 | $3.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,203 | 2022-05-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,915 | 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) | $178.00 | 2018-08-08 | 7,500 | 7,500 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $77.80 | 2019-04-29 | 2,394 | 2,394 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $54.40 | 2020-03-09 | 3,081 | 3,081 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $13.50 | 2021-03-07 | 9,375 | 9,375 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-08-08 | 7,500 | 7,500 | Direct |
| 2019-04-29 | 2,394 | 2,394 | Direct |
| 2020-03-09 | 3,081 | 3,081 | Direct |
| 2021-03-07 | 9,375 | 9,375 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.50 to $7.90 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 sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.29 to $7.51 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 sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.35 to $7.57 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 sold at each separate price within the range set forth in this footnote.
- Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated October 24, 2013.
- 100% vested.
- 2,343 shares vest on 3/7/12 and 2,344 shares vest on 3/7/13, 3/7/14 and 3/7/15.
- 5,400 shares vest on 5/4/13 and 5,401 shares vest on 5/4/14, 5/4/15 and 5/4/16.
- 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.
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