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BROADWIND, INC. — Director's Dealing 2012
May 8, 2012
34590_dirs_2012-05-08_b543e44c-3d09-4f1c-987a-36c5d3d2f28d.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: Collins Jesse E. Jr. (Executive VP and COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-04 | Common Stock | A | 216039 | $.34 | Acquired | 377989 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-05-04 | Stock Option (Right to Buy) | $.34 | A | 216039 | Disposed | 2022-05-04 | Common Stock (216039) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6662 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $17.80 | 2018-08-08 | Common Stock (75000) | 75000 | Direct |
| Stock Option (Right to Buy) | $7.78 | 2019-04-29 | Common Stock (23943) | 23943 | Direct |
| Stock Option (Right to Buy) | $5.44 | 2020-03-09 | Common Stock (30819) | 30819 | Direct |
| Stock Option (Right to Buy) | $1.35 | 2021-03-07 | Common Stock (93750) | 93750 | 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) 2,871 shares of restricted stock units that vest on 4/29/13; (iii) 8,214 shares of restricted stock units that vest in 4,107 share increments on each of 3/9/13 and 3/9/14; (iv) 30,000 shares of restricted stock units that vest in 10,000 share increments on each of 9/9/12, 9/9/13 and 9/9/14; (v) 55,458 shares of restricted stock units that vest in 18,486 share increments on each of 3/7/13, 3/7/14 and 3/7/15 and (vi) 216,039 shares of restricted stock units that vest 54,009 shares on 5/4/13 and in 54,010 share increments on each of 5/4/14, 5/4/15 and 5/4/16.
F2: 15,000 shares vest on each of 8/8/09, 8/8/10, 8/8/11, 8/8/12 and 8/8/13.
F3: 5,986 shares vest on each of 4/29/10, 4/29/11 and 4/29/12 and 5,985 shares vest on 4/29/13.
F4: 7,705 shares vest on 3/9/11, 3/9/12 and 3/9/13 and 7,704 shares vest on 3/9/14.
F5: 23,437 shares vest on 3/7/12, 23,438 shares vest on 3/7/13, 23,437 shares vest on 3/7/14 and 23,438 shares vest on 3/7/15.
F6: 54,009 shares vest on 5/4/13 and 54,010 shares vest on 5/4/14, 5/4/15 and 5/4/16.