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BROADWIND, INC. — Director's Dealing 2010
Mar 11, 2010
34590_dirs_2010-03-11_44c352e8-0ff6-4376-a066-c4b8839c46d6.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: KUSHNER STEPHANIE K (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-03-09 | Common Stock | A | 28378 | $5.44 | Acquired | 53556 | 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 | 53233 | Acquired | 2020-03-09 | Common Stock (53233) | 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 |
Footnotes
F1: 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.
F2: Includes 178 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: 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.