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BROADWIND, INC. — Director's Dealing 2014
May 6, 2014
34590_dirs_2014-05-06_8eb1e23f-5006-4253-9076-a609c7653db8.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: 2014-05-04
Reporting Person: KUSHNER STEPHANIE K (Exec. VP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-04 | Common Stock | F | 2761 | $13.37 | Disposed | 185665 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5889 | Indirect |
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 reporting person has elected to satisfy her 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) 2,940 shares of restricted stock units that vest on 3/7/15; (ii) 17,065 shares of restricted stock units that vest 8,532 shares on 5/4/15 and 8,533 shares on 5/4/16; and (iii) 40,822 shares of restricted stock units that vest 20,411 shares on each of 2/21/15 and 2/21/16; and (iv) 20,491 shares of restricted stock units that vest 6,830 shares on each of 2/20/15 and 2/20/16 and 6,831 shares on 2/20/16.
F3: Reflects the number of shares currently held in the reporting person's 401(k) plan account based on a plan statement dated April 29, 2014. This total reflects a reduction of 251 shares as compared to the reporting person's holdings stated in the issuer's 2014 proxy statement, in order to correct a computational error.
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.