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BROADWIND, INC. — Director's Dealing 2012
May 8, 2012
34590_dirs_2012-05-08_b4b40f19-5bcb-4fdf-bfde-776e8abc7efe.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: 2012-05-04
Reporting Person: Beynon Charles H. (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-04 | Common Stock | A | 102941 | — | Acquired | 196702 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $8.00 | 2017-10-24 | Common Stock (25000) | 25000 | Direct |
| Stock Option (Right to Buy) | $9.40 | 2018-04-13 | Common Stock (10000) | 10000 | Direct |
| Phantom Stock | $ | Common Stock (6455) | 6455 | Direct |
Footnotes
F1: Includes 102,941 shares of restricted stock units which vest on 5/4/13.
F2: 8,333 shares vest on each of 10/24/2008 and 10/24/2009; 8,334 shares vest on 10/24/2010.
F3: 3,333 shares vest on each of 4/13/2009 and 4/13/2010; 3,334 shares vest on 4/13/2011.
F4: Each share of phantom stock is the economic equivalent of one share of Broadwind Energy common stock.
F5: Phantom stock credited to participant's account in 2008 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.