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BROADWIND, INC. — Director's Dealing 2013
Dec 10, 2013
34590_dirs_2013-12-10_bdbbb7bd-e472-4163-a857-d9ddce3bb60b.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: 2013-12-10
Reporting Person: KUSHNER STEPHANIE K (Exec. VP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-10 | Common Stock | P | 3830 | $5.2479 | Acquired | 169642 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5900.5148 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $99.90 | 2019-07-29 | Common Stock (2500) | 2500 | Direct |
| Stock Option (Right to Buy) | $54.40 | 2020-03-09 | Common Stock (5323) | 5323 | Direct |
| Stock Option (Right to Buy) | $13.50 | 2021-03-07 | Common Stock (14910) | 14910 | Direct |
| Stock Option (Right to Buy) | $3.40 | 2022-05-04 | Common Stock (34129) | 34129 | 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 $5.23 to $5.25 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) 709 shares of restricted stock units that vest on 3/9/14; (ii) 5,880 shares of restricted stock units that vest 2,940 shares on each of 3/7/14 and 3/7/15; (iii) 25,597 shares of restricted stock units that vest 8,532 shares on each of 5/4/14 and 5/4/15 and 8,533 shares on 5/4/16; and (iv) 61,233 shares of restricted stock units that vest 20,411 shares on each of 2/21/14, 2/21/15 and 2/21/16.
F3: Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated December 10, 2013.
F4: 625 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
F5: 1,330 shares vest on 3/9/11 and 1,331 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.
F6: 3,727 shares vest on each of 3/7/12 and 3/7/14 and 3,728 shares vest on each of 3/7/13 and 3/7/15.
F7: 8,532 shares vest on each of 5/4/13, 5/4/14 and 5/14/15 and 8,533 shares vest on 5/4/16.