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BROADWIND, INC. — Director's Dealing 2014
Aug 7, 2014
34590_dirs_2014-08-07_66af970d-fe17-442f-81f3-5c22814ecad1.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: 2014-08-05
Reporting Person: Fell David W. (VP, General Counsel and Secy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-08-05 | Common Stock | F | 95 | $8.44 | Disposed | 18030 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3815 | Indirect |
Footnotes
F1: The reporting person has elected to satisfy his tax withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant.
F2: Includes (i) 1,045 shares of restricted stock units that vest on July 28, 2015; (ii) 5,267 shares of restricted stock units that vest 2,633 shares on August 22, 2014 and 2,634 shares on August 22, 2015; (iii) 4,088 shares of restricted stock units that vest 2,044 shares on each of February 21, 2015 and February 21, 2016; and (iv) 3,640 shares of restricted stock units that vest 1,213 shares on each of February 20, 2015 and February 20, 2016 and 1,214 shares on February 20, 2017.