Home > Insider Trading > Filing (0000914190-13-000860)

Filing Details

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	3240 S. Central Avenue Cicero IL 60804	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	2013-12-11	300	$5.25	169,942	No	4	P	Direct
Common Stock	Acquisiton	2013-12-12	5,870	$5.76	175,812	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	5,901	Indirect	By 401(k) Plan

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$99.90	2019-07-29	2,500	2,500	Direct
Common Stock	Stock Option (Right to Buy)	$54.40	2020-03-09	5,323	5,323	Direct
Common Stock	Stock Option (Right to Buy)	$13.50	2021-03-07	14,910	14,910	Direct
Common Stock	Stock Option (Right to Buy)	$3.40	2022-05-04	34,129	34,129	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2019-07-29	2,500	2,500	Direct
2020-03-09	5,323	5,323	Direct
2021-03-07	14,910	14,910	Direct
2022-05-04	34,129	34,129	Direct

Footnotes

Includes (i) 709 shares of restricted stock units that vest on 3/9/14; (ii) 5,880 shares of restricted stock units that vest 2,940 shares on each of 3/7/14 and 3/7/15; (iii) 25,597 shares of restricted stock units that vest 8,532 shares on each of 5/4/14 and 5/4/15 and 8,533 shares on 5/4/16; and (iv) 61,233 shares of restricted stock units that vest 20,411 shares on each of 2/21/14, 2/21/15 and 2/21/16.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.61 to $5.76 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 purchased 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 December 10, 2013.
625 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
1,330 shares vest on 3/9/11 and 1,331 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.
3,727 shares vest on each of 3/7/12 and 3/7/14 and 3,728 shares vest on each of 3/7/13 and 3/7/15.
8,532 shares vest on each of 5/4/13, 5/4/14 and 5/14/15 and 8,533 shares vest on 5/4/16.