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BROADWIND, INC. — Director's Dealing 2010
Mar 18, 2010
34590_dirs_2010-03-18_68054ecb-65dc-4c99-9ed8-200b221c5982.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: 2010-03-16
Reporting Person: KUSHNER STEPHANIE K (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-03-16 | Common Stock | P | 10000 | $4.2275 | Acquired | 63556 | 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 price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.21 to $4.23, inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: Includes (i) 25,000 shares of restricted stock units that vest in 6,250 share increments on each of 7/29/10, 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: 6,250 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
F4: 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.