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BROADWIND, INC. — Director's Dealing 2010
Jul 30, 2010
34590_dirs_2010-07-30_02d32081-282b-45d6-9e3d-4643a5cd67ec.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: 2010-07-29
Reporting Person: KUSHNER STEPHANIE K (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-07-29 | Common Stock | F | 1841 | $2.94 | Disposed | 73824 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $9.99 | 2019-07-29 | Common Stock (25000) | 25000 | Direct |
| Stock Option (Right to Buy) | $5.44 | 2020-03-09 | Common Stock (53233) | 53233 | Direct |
Footnotes
F1: The reporting person has elected to satisfy her tax withholding obligation in connection with the restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the grant.
F2: Includes (i) 18,750 shares of restricted stock units that vest in 6,250 share increments on each of 7/29/11, 7/29/12 and 7/29/13 and (ii) 28,378 shares of restricted stock units that vest in 7,095 share increments on 3/9/11 and 3/9/12 and in 7,094 share increments on 3/9/13 and 3/9/14.
F3: Includes 2,109 shares of common stock acquired under the Issuer's 401(k) plan. The information in this report is based on a plan statement dated June 28, 2010.
F4: 6,250 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
F5: 13,309 shares vest on 3/9/11 and 13,308 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.