Filing Details
- Accession Number:
- 0000914190-13-000827
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-13 17:05:58
- Reporting Period:
- 2013-11-11
- Filing Date:
- 2013-11-13
- Accepted Time:
- 2013-11-13 17:05:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1210278 | R Robert Rogowski | 3240 S. Central Avenue Cicero IL 60804 | Principal Accounting Officer | 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 | Disposition | 2013-11-11 | 2,000 | $7.47 | 25,951 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,680 | 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) | $15.00 | 2021-05-05 | 1,750 | 1,750 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $3.39 | 2022-05-04 | 5,647 | 5,647 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-05-05 | 1,750 | 1,750 | Direct |
| 2022-05-04 | 5,647 | 5,647 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.46 to $7.51inclusive. 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.
- Includes (i) 875 shares of restricted stock units that vest 437 shares on 5/4/14 and 438 shares on 5/5/15; (ii) 4,236 shares of restricted stock units that vest in 1,412 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (iii) 9,406 shares of restricted stock units that vest in 3,135 share increments on each of 2/21/14 and 2/21/15 and 3,136 shares on 2/21/16.
- Between May 2 and November 11, 2013, the reporting person acquired additional shares of Broadwind Energy, Inc. common stock under his 401(k) plan. The information in this report is based on a plan statement dated as of November 11, 2013.
- 437 shares vest on each of 5/5/12 and 5/5/14 and 438 shares vest on each of 5/5/13 and 5/5/15.
- 1,411 shares vest on 5/4/13 and 1,412 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.
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