Filing Details
- Accession Number:
- 0001104659-16-127336
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-06-15 15:30:10
- Reporting Period:
- 2016-06-14
- Filing Date:
- 2016-06-15
- Accepted Time:
- 2016-06-15 15:30:10
- 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 | Vp And Corporate Controller | 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 | 2016-06-14 | 6,000 | $4.35 | 33,813 | 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 | 3,863 | 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 $4.34 to $4.37, inclusive. The reporting person undertakes to provide to 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 (1) to this Form 4.
- Includes (i) 1,154 restricted stock units that vest on 2/20/17; (ii) 3,521 restricted stock units that vest 1,760 shares on 2/19/17 and 1,761 shares on 2/19/18; and (iii) 15,838 restricted stock units that vest in increments of 5,279 shares on each of 2/22/17 and 2/22/18 and 5,280 shares on 2/22/19.
- 437 shares vested on each of 5/5/12 and 5/5/14, and 438 shares vested on each of 5/5/13 and 5/5/15.
- 1,411 shares vested on 5/4/13, 1,412 shares vested on each of 5/4/14 and 5/4/15, and 1,412 shares vested on 5/4/16.
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