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BROADWIND, INC. — Director's Dealing 2013
Sep 27, 2013
34590_dirs_2013-09-27_af08e19e-66b1-4daf-aa3c-45435143d5cf.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: 2013-09-25
Reporting Person: MARXE AUSTIN W & GREENHOUSE DAVID M (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-25 | Common Stock | S | 1000 | $7.75 | Disposed | 2659294 | Indirect |
| 2013-09-26 | Common Stock | S | 18827 | $8.0648 | Disposed | 2640467 | Indirect |
| 2013-09-26 | Common Stock | S | 3294 | $7.9879 | Disposed | 2637173 | Indirect |
Footnotes
F1: This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (Tech 2). 1,387,703 shares of Common Stock are held by QP, 462,536 shares of Common Stock are held by Cayman, 110,138 shares of Common Stock are held by Tech and 676,796 shares of Common Stock are held by Tech 2. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, Cayman, Tech and Tech 2 is limited to the extent of his pecuniary interest.
F2: This is a weighted average price.