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BROADWIND, INC. — Director's Dealing 2011
May 12, 2011
34590_dirs_2011-05-12_9923b573-73a0-4c26-b886-f47f79ee13f5.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: 2011-05-12
Reporting Person: Duprey Peter C. (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-05-12 | Common Stock | P | 20000 | $1.4999 | Acquired | 200000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $1.77 | 2020-11-15 | Common Stock (220000) | 220000 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $1.4993 to $1.50, 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 acquired at each separate price within the ranges set forth in this footnote.
F2: Represents 180,000 of restricted stock units that vest in 45,000 share increments on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
F3: 55,000 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.