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BROADWIND, INC. — Director's Dealing 2010
May 3, 2010
34590_dirs_2010-05-03_604beb3f-f27e-45d0-9dd2-7a6aa8dd4191.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: Moller Lars (President-Technology and Int'l)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-04-29 | Common Stock | F | 1461 | $4.09 | Disposed | 90640 | 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 |
| Stock Option (Right to Buy) | $5.44 | 2020-03-09 | Common Stock (57328) | 57328 | 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) 14,879 shares of restricted stock units that vest in 4,960 share increments on each of 4/29/11 and 4/29/12 and 4,959 shares that vest on 4/29/13 and (ii) 30,561 shares of restricted stock units that vest in 7,641 share increments on 3/9/11 and in 7,640 share increments on 3/9/12, 3/9/13 and 3/9/14.
F3: Includes an additional 514 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: 100,000 shares vest on each of 10/22/08, 10/22/09, 10/22/10, 10/22/11 and 10/22/12.
F5: 10,339 shares vest on each of 4/29/10, 4/29/11, 4/29/12 and 4/29/13.
F6: 14,332 shares vest on each of 3/9/11, 3/9/12, 3/9/13 and 3/9/14.