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BROADWIND, INC. — Director's Dealing 2012
May 8, 2012
34590_dirs_2012-05-08_ad2174d0-0bae-48c4-bda7-8326c9804472.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: Rubin Jonathan David (VP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-04 | Common Stock | A | 161243 | $.34 | Acquired | 273522 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-05-04 | Stock Option (Right to Buy) | $.34 | A | 161243 | Acquired | 2022-05-04 | Common Stock (161243) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4706 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $18.20 | 2018-07-02 | Common Stock (75000) | 75000 | Direct |
| Stock Option (Right to Buy) | $7.78 | 2019-04-29 | Common Stock (18719) | 18719 | Direct |
| Stock Option (Right to Buy) | $5.44 | 2020-03-09 | Common Stock (24095) | 24095 | Direct |
| Stock Option (Right to Buy) | $1.35 | 2021-03-07 | Common Stock (70313) | 70313 | Direct |
Footnotes
F1: Includes (i) 10,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/12 and 10/17/13; (ii) 2,245 shares of restricted stock units that vest 4/29/13; (iii) 6,422 shares of restricted stock units that vest 3,211 share increments on each 3/9/13 and 3/9/14; (iv) 41,594 shares of restricted stock units that vest 13,865 shares on 3/7/13, 13,864 shares on 3/7/14 and 13,865 shares on 3/7/15; and (v) 161,243 shares of restricted stock units that vest 40,310 shares on 5/4/13 and 40,311 shares on 5/4/14, 5/4/15 and 5/4/16.
F2: 15,000 shares vest on each of 7/2/09, 7/2/10, 7/2/11, 7/2/12 and 7/2/13.
F3: 4,680 shares vest on each of 4/29/10, 4/29/11 and 4/29/12, and 4,679 shares vest on 4/29/13.
F4: 6,024 shares vest on each of 3/9/11, 3/9/12 and 3/9/13; 6,023 shares vest on 3/9/14.
F5: 17,578 shares vest on 3/7/12, 3/7/13 and 3/7/14 and 17,579 shares vest on 3/7/15.
F6: 40,310 shares vest on 5/4/13 and 40,311 shares vest on 5/4/14, 5/4/15 and 5/4/16.