Filing Details
- Accession Number:
- 0001104659-19-072974
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-16 15:00:30
- Reporting Period:
- 2019-12-13
- Accepted Time:
- 2019-12-16 15:00:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1222000 | P David Reiland | 3240 S. Central Avenue Cicero IL 60804 | Yes | No | 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 | 2019-12-13 | 10,000 | $1.85 | 96,326 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock | $0.00 | 8,403 | 8,403 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 8,403 | 8,403 | Direct |
Footnotes
- Includes 18,324 restricted stock units that vest on 4/23/20.
- Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.
- Phantom stock credited to participant's account in 2009, 2011 and 2016 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.
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