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BROADWIND, INC. — Director's Dealing 2010
May 3, 2010
34590_dirs_2010-05-03_3611ef6d-94da-4be4-9610-e7df6b862ca1.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: 2010-04-29
Reporting Person: Paxton Robert (Former SVP of Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-04-29 | Common Stock | F | 754 | $4.09 | Disposed | 64619 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $18.20 | 2018-07-02 | Common Stock (75000) | 75000 | Direct |
| Stock Option (Right to Buy) | $7.78 | 2019-04-29 | Common Stock (21331) | 21331 | Direct |
| Stock Option (Right to Buy) | $5.44 | 2020-03-09 | Common Stock (27457) | 27457 | Direct |
Footnotes
F1: 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.
F2: Includes (i) 20,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/10, 10/17/11, 10/17/12 and 10/17/13; (ii) 7,674 shares of restricted units that vest in 2,558 share increments on each of 4/29/11, 4/29/12 and 4/29/13 and (iii) 14,637 shares of restricted stock units that vests 3,660 shares on 3/9/11 and vest in 3,659 share increments on each of 3/9/12, 3/9/13 and 3/9/14.
F3: Includes an additional 645 shares of common stock acquired under the Issuer's 401(k) plan. The information in this report is based on a plan statement dated as of March 31, 2010.
F4: 15,000 shares vest on each of 7/2/09, 7/2/10, 7/2/11, 7/2/12 and 7/2/13.
F5: 5,333 shares vest on each of 4/29/10, 4/29/11 and 4/29/12 and 5,332 shares vest on 4/29/13.
F6: 6,865 shares vest on 3/9/11 and 6,864 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.