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BROADWIND, INC. — Director's Dealing 2013
Sep 16, 2013
34590_dirs_2013-09-16_5b275471-0fd5-439e-a703-cd607cdc6ce1.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: 2013-09-12
Reporting Person: MARXE AUSTIN W & GREENHOUSE DAVID M (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-12 | Common Stock | S | 26000 | $7.08 | Disposed | 2688795 | Indirect |
| 2013-09-12 | Common Stock | S | 11501 | $7.1167 | Disposed | 2677294 | Indirect |
| 2013-09-13 | Common Stock | S | 1000 | $7.35 | Disposed | 2676294 | Indirect |
Footnotes
F1: This is a weighted average price.
F2: 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). 1,408,288 shares of Common Stock are held by QP, 469,398 shares of Common Stock are held by Cayman, 111,772 shares of Common Stock are held by Tech and 686,836 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.