Filing Details
- Accession Number:
- 0000914190-13-000857
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-11 15:18:14
- Reporting Period:
- 2013-12-11
- Filing Date:
- 2013-12-11
- Accepted Time:
- 2013-12-11 15:18:14
- 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 | 3240 S. Central Avenue Cicero IL 60804 | 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 | 2013-12-11 | 5,000 | $5.32 | 237,733 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-12-11 | 5,000 | $5.33 | 242,733 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 6,338 | 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) | $17.70 | 2020-11-15 | 22,000 | 22,000 | Direct | |
Common Stock | Stock Option (Right to Buy) | $3.40 | 2022-05-04 | 58,083 | 58,083 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2020-11-15 | 22,000 | 22,000 | Direct |
2022-05-04 | 58,083 | 58,083 | Direct |
Footnotes
- Includes 4,500 restricted stock units that vest on 11/15/14; (ii)) 43,563 restricted stock units that vest in 14,521 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (iii) 97,500 restricted stock units that vest in 32,500 share increments on each of 2/21/14, 2/21/15 and 2/21/16.
- Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated February 22, 2013.
- 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- 14,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.