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BROADWIND, INC. — Director's Dealing 2012
Oct 19, 2012
34590_dirs_2012-10-19_f071ca08-8563-4d82-bf62-e95d6aae84b5.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: 2012-10-17
Reporting Person: Collins Jesse E. Jr. (Executive VP and COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-10-17 | Common Stock | F | 133 | $2.17 | Disposed | 37430 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2336 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $178.00 | 2018-08-08 | Common Stock (7500) | 7500 | Direct |
| Stock Option (Right to Buy) | $77.80 | 2019-04-29 | Common Stock (2394) | 2394 | Direct |
| Stock Option (Right to Buy) | $54.40 | 2020-03-09 | Common Stock (3081) | 3081 | Direct |
| Stock Option (Right to Buy) | $13.50 | 2021-03-07 | Common Stock (9375) | 9375 | Direct |
| Stock Option (Right to Buy) | $3.40 | 2022-05-04 | Common Stock (21603) | 21603 | 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) 500 shares of restricted stock units that vest on 10/17/13; (ii) 287 shares of restricted stock units that vest on 4/29/13; (iii) 820 shares of restricted stock units that vest in 410 share increments on each of 3/9/13 and 3/9/14; (iv) 2,000 shares of restricted stock units that vest in 1,000 share increments on each of 9/9/13 and 9/9/14; (v) 5,545 shares of restricted stock units that vest in 1,848 share increments on each of 3/7/13, 3/7/14 and 3/7/15 and (vi) 21,603 shares of restricted stock units that vest 5,400 shares on 5/4/13 and in 5,401share increments on each of 5/4/14, 5/4/15 and 5/4/16.
F3: 1,500 shares vest on each of 8/8/09, 8/8/10, 8/8/11, 8/8/12 and 8/8/13.
F4: 598 shares vest on each of 4/29/10 and 4/29/11 and 599 shares vest on 4/29/12 and 4/29/13.
F5: 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.
F6: 2,343 shares vest on 3/7/12, 2,344 shares vest on 3/7/13, 2,343 shares vest on 3/7/14 and 2,344 shares vest on 3/7/15.
F7: 5,400 shares vest on 5/4/13 and 5,401shares vest on 5/4/14, 5/4/15 and 5/4/16.