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BROADWIND, INC. — Director's Dealing 2009
Dec 21, 2009
34590_dirs_2009-12-21_4eade67d-88fc-4045-b53e-ae7b98b0855d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2009-12-17
Reporting Person: Moller Lars (Exec VP and COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-12-17 | Common Stock | A | 50000 | — | Acquired | 74839 | Direct |
| 2009-12-17 | Common Stock | F | 14000 | $8.63 | Disposed | 60839 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $8.10 | 2017-10-22 | Common Stock (500000) | 500000 | Direct |
| Stock Option (Right to Buy) | $7.78 | 2019-04-29 | Common Stock (41356) | 41356 | Direct |
Footnotes
F1: Includes 19,839 shares of restricted stock units that vest in 4,960 share increments on each of 4/29/10, 4/29/11 and 4/29/12 and 4,959 shares that vest on 4/29/13.
F2: The reporting person has elected to satisfy his tax withholding obligation in connection with the restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the grant.
F3: 100,000 shares shall vest on each of 10/22/08, 10/22/09, 10/22/10, 10/22/11 and 10/22/12.
F4: 10,339 shares shall vest on each of 4/29/10, 4/29/11, 4/29/12 and 4/29/13.