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BROADWIND, INC. — Director's Dealing 2011
Sep 12, 2011
34590_dirs_2011-09-12_83514cea-e580-4ff6-9f1a-ccd10bdefc3f.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: 2011-09-09
Reporting Person: Collins Jesse E. Jr. (Executive VP and COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-09-09 | Common Stock | F | 2645 | $.53 | Disposed | 170957 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6662 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $17.80 | 2018-08-08 | Common Stock (75000) | 75000 | Direct |
| Stock Option (Right to Buy) | $7.78 | 2019-04-29 | Common Stock (23943) | 23943 | Direct |
| Stock Option (Right to Buy) | $5.44 | 2020-03-09 | Common Stock (30819) | 30819 | Direct |
| Stock Option (Right to Buy) | $1.35 | 2021-03-07 | Common Stock (93750) | 93750 | 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) 15,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/11, 10/17/12 and 10/17/13; (ii) 5,742 shares of restricted stock units that vest in 2,871 share increments on 4/29/12 and 4/29/13; (iii) 12,321 shares of restricted stock units that vest in 4,107 share increments on each of 3/9/12, 3/9/13 and 3/9/14; (iv) 40,000 shares of restricted stock units that vest in 10,000 share increments on each of 9/9/11, 9/9/12, 9/9/13 and 9/9/14; and (v) 73,944 shares of restricted stock units that vest in 18,486 share increments on each of 3/7/12, 3/7/13, 3/7/14 and 3/7/15.
F3: 15,000 shares vest on each of 8/8/09, 8/8/10, 8/8/11, 8/8/12 and 8/8/13.
F4: 5,986 shares vest on each of 4/29/10, 4/29/11 and 4/29/12 and 5,985 shares vest on 4/29/13.
F5: 7,705 shares vest on 3/9/11, 3/9/12 and 3/9/13 and 7,704 shares vest on 3/9/14.
F6: 23,437 shares vest on 3/7/12, 23,438 shares vest on 3/7/13, 23,437 shares vest on 3/7/14 and 23,438 shares vest on 3/7/15.