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BROADWIND, INC. — Director's Dealing 2009
May 1, 2009
34590_dirs_2009-05-01_eabdecc2-71c2-4ad0-ba06-efd09c06abd5.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: 2009-04-29
Reporting Person: Moller Lars (Exec VP and COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-04-29 | Common Stock | A | 19839 | $7.78 | Acquired | 24839 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2009-04-29 | Stock Option (Right to Buy) | $7.78 | A | 41356 | Acquired | 2019-04-29 | Common Stock (41356) | 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 |
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: 100,000 shares shall vest on each of 10/22/08, 10/22/09, 10/22/10, 10/22/11 and 10/22/12.
F3: 10,339 shares shall vest on each of 4/29/10, 4/29/11, 4/29/12 and 4/29/13.
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