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BROADWIND, INC. — Director's Dealing 2012
Jun 6, 2012
34590_dirs_2012-06-06_a15a1a94-f064-410e-b257-d00f181ddc88.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: 2012-06-04
Reporting Person: KUSHNER STEPHANIE K (Exec. VP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-04 | Common Stock | P | 100000 | $.2641 | Acquired | 727879 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-05-04 | Stock Option (Right to Buy) | $.34 | A | 341296 | Acquired | 2022-05-04 | Common Stock (341296) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 8110 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $9.99 | 2019-07-29 | Common Stock (25000) | 25000 | Direct |
| Stock Option (Right to Buy) | $5.44 | 2020-03-09 | Common Stock (53233) | 53233 | Direct |
| Stock Option (Right to Buy) | $1.35 | 2021-03-07 | Common Stock (149107) | 149107 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.26 to $0.27 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 purchased at each separate price within the range set forth in this footnote.
F2: Includes (i) 12,500 shares of restricted stock units that vest in 6,250 share increments on each of 7/29/12 and 7/29/13; (ii) 7,094 shares of restricted stock units that vest on 3/9/13 and 3/9/14; and (iii) 88,205 shares of restricted stock units that vest 29,402 shares on 3/7/13, 29,401 shares on 3/7/14 and 29,402 shares on 3/7/15 and (iv) 341,296 shares of restricted stock units that vest 85,324 shares on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.
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.
F5: 37,276 shares vest on 3/7/12 and 37,277 shares vest on 3/7/13, 3/7/14 and 3/7/15.
F6: 85,324 shares vest on 5/4/13, 5/4/14, 5/4/15 and 5/4/16.