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BROADWIND, INC. — Director's Dealing 2010
Mar 11, 2010
34590_dirs_2010-03-11_6166db20-cd2d-48e3-ad66-f7c41a767bcd.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: 2010-03-09
Reporting Person: Moller Lars (President-Technology and Int'l)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-03-09 | Common Stock | A | 30561 | $5.44 | Acquired | 91587 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2010-03-09 | Stock Option (Right to Buy) | $5.44 | A | 57328 | Acquired | 2020-03-09 | Common Stock (57328) | 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 |
Footnotes
F1: Includes (i) 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 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.
F2: Includes 187 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 December 31, 2009.
F3: 100,000 shares vest on each of 10/22/08, 10/22/09, 10/22/10, 10/22/11 and 10/22/12.
F4: 10,339 shares vest on each of 4/29/10, 4/29/11, 4/29/12 and 4/29/13.
F5: 14,332 shares vest on each of 3/9/11, 3/9/12, 3/9/13 and 3/9/14.