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BROADWIND, INC. — Director's Dealing 2013
Sep 10, 2013
34590_dirs_2013-09-10_3d3ed1ae-55ba-4c9d-ad7b-4d68ac66e90e.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: 2013-09-09
Reporting Person: Collins Jesse E. Jr. (Executive VP and COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-09 | Common Stock | F | 274 | $6.70 | Disposed | 85037 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5480 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $178.00 | 2018-08-08 | Common Stock (7500) | 7500 | Direct |
| Stock Option (Right to Buy) | $77.80 | 2019-04-29 | Common Stock (2394) | 2394 | Direct |
| Stock Option (Right to Buy) | $54.40 | 2020-03-09 | Common Stock (3081) | 3081 | Direct |
| Stock Option (Right to Buy) | $13.50 | 2021-03-07 | Common Stock (9375) | 9375 | Direct |
| Stock Option (Right to Buy) | $3.40 | 2022-05-04 | Common Stock (21603) | 21603 | Direct |
Footnotes
F1: The Reporting Person has elected to satisfy his tax withholding obligation in connection with the restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the grant.
F2: Includes (i) 500 shares of restricted stock units that vest on 10/17/13; (ii) 410 shares of restricted stock units that vest on 3/9/14; (iii) 1,000 shares of restricted stock units that vest on 9/9/14; (iv) 3,698 shares of restricted stock units that vest in 1,849 share increments on each of 3/7/14 and 3/7/15; (v) 16,203 shares of restricted stock units that vest in 5,401 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (vi) 37,333 shares of restricted stock units that vest 12,444 shares on each of 2/21/14 and 2/21/15 and 12,445 shares on 2/21/16.
F3: Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated September 9, 2013.
F4: 100% vested.
F5: 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.
F6: 2,343 shares vest on 3/7/12 and 2,344 shares vest on 3/7/13, 3/7/14 and 3/7/15.
F7: 5,400 shares vest on 5/4/13 and 5,401shares vest on 5/4/14, 5/4/15 and 5/4/16.